4+ years of FINRA and SEC compliance experience in Investment Banking or Private Equity
FINRA Series 7 and Series 24 strongly preferred; or must obtain shortly
Solid understanding of FINRA regulations and SEC requirements
Experience with compliance systems like DocuSign and ComplySci is a plus
Four-year college degree required; JD preferred
U.S. work authorization required
Responsibilities
Oversee and execute compliance with FINRA, SEC, and FCA regulations
Monitor daily employee and business compliance matters
Advise management on strategic decisions regarding compliance
Design and tailor compliance programs to meet evolving needs
Conduct KYC/AML/CIP checks and manage compliance testing
Prepare and maintain firm policies and Written Supervisory Procedures
Engage in public speaking and training on regulatory topics
Benefits
Collaborative work environment
Opportunities for professional development
Exposure to high-profile transactions
Supportive team culture
Flexible work arrangements
Full Job Description
Compliance Manager - FinTech Investment Banking
Position: Financial Technology Partners is seeking a Compliance Manager.
Role Description: The Compliance Manager will be responsible for oversight and execution of FINRA, SEC, FCA, and related regulatory compliance. A candidate should have a solid working knowledge of the FINRA and SEC regulatory frameworks. Additionally the employee must actively keep abreast of regulatory developments as they apply to the firm's business model and be able to advise firm management on strategic decision making. Candidates should have experience monitoring employee and business compliance matters on a day to day level as well as designing and tailoring a compliance program to meet the firm's evolving compliance needs.
General Qualifications:
4+ years of FINRA and SEC compliance experience preferably in Investment Banking or Private Equity
FINRA Series 7 and Series 24 strongly preferred; or must able to obtain within a short period
Good knowledge of FINRA regulations and applicable regulatory requirements and expectations related to investment banking and broker-dealer activities
Working knowledge of federal and state laws and regulations applicable to investment banking including a general knowledge of SEC regulatory requirements and framework
Ability to articulate regulatory requirements to all levels of employees, from new analysts to the head of the firm
Experience with FINRA Gateway including U4s & U5s, Form BD, CMA, as well as handling ad hoc regulatory inquiries
Experience writing and maintain firm policies and procedures including Written Supervisory Procedures
Understanding and experience executing KYC/AML/CIP checks, complying with sanctions and Treasury requirements, oversight of employee personal investments and OBAs, e-comms surveillance and management, books and records requirements, regular compliance testing, and certification under FINRA 3130
Experience with FINRA Rule 2241 regarding equity research is a major plus
Familiarity with compliance systems and related platforms such as DocuSign, Smarsh, ComplySci, and Dow Jones Risk Center a plus
Knowledge of FCA and EU regulatory requirements a plus
Four year college degree required; JD preferred
U.S. work authorization
Communications Skills:
Public speaking and live training experience including the ability to tailor training materials to the firm based on the regulatory landscape
Exceptional writing and verbal communication skills, able to prepare high impact materials in multiple formats
Participate effectively in both internal and external meetings
Team Player:
Team player who can contribute to building a positive team spirit, keeps commitments, inspires the trust of others, works with integrity and ethically, and upholds firm values
Ability to perform under pressure amid tight deadlines; can effectively prioritize and plan
Collaborative across teams and levels, both internally and externally
Selected transactions include advising:
Divvy's $2.5 billion Sale to Bill.com
GreenSky's $2.2 billion Sale to Goldman Sachs
Truebill's $1.3 billion Sale to Rocket Companies
Currencycloud's $1 billion Sale to Visa
Revolut's $800 million Financing at a $33 billion Valuation
Mollie's $800 million Financing at a $6.5 billion Valuation
Payrix' ~$800 million Sale to FIS
Cross River's $620 million Series D Financing
Velocity Global's $400 million Series B Financing
SpotOn's $300 million Series F Financing at a $3.6 billion Valuation
Upgrade's $280 million Series F Financing at a $6 billion Valuation
Lendable's $275 million Financing at a $4.5 billion Valuation
Mambu's ~$266 million Series E Financing at a ~$5.5 billion Valuation
Newfront's $200 million Financing at a $2.2 billion Valuation
com's $60 million Series C Financing at a $1.2 billion Valuation
Acorns' Acquisition of GoHenry
About Financial Technology Partners
Financial Technology Partners is an investment bank that provides advisory services to companies in the financial technology sector. The company was founded in 2002 and is headquartered in San Francisco, California. Financial Technology Partners serves a variety of clients, including private and public companies, venture capital firms, and private equity firms. The company's services include mergers and acquisitions, capital raising, and strategic advisory. Financial Technology Partners is committed to providing high-quality, independent advice to its clients.
