Associate Compliance Analyst - Temporary FTC

Employer Industry: Financial Technology

• Salary range of $70,000 - $80,000 per annum
• Comprehensive benefits package including health insurance coverage for employees
• Daily lunch allowance and gym stipend
• 6% 401K match to support your retirement savings
• Opportunity to work in a fast-paced, innovative environment with a focus on compliance and regulatory requirements
• Flexible remote work opportunity within the U.S.

• Maintain and manage the policies and procedures inventory, ensuring timely reviews and approvals
• Conduct ongoing associate surveillance related to gifts, entertainment, and political contributions
• Manage the tracking and regulatory reporting for the Firm’s Complaints program
• Support compliance testing and ensure adherence to regulatory reporting requirements
• Recommend necessary changes to business unit procedures to address compliance gaps

• Bachelor’s degree required; advanced degree is a plus
• FINRA Series 7 and 24 required;
  Series 4 preferred
• Minimum of 2 years of experience in a compliance function with familiarity in Broker Dealer rules and regulations
• Strong understanding of capital markets and the broker dealer industry
• Proficiency in MS Office (Word, Excel, PowerPoint, and Outlook)

• Knowledge or familiarity with money transmitter licenses
• Experience in monitoring, testing, and conducting risk assessments
• Strong analytical thinking and problem-solving abilities
• Excellent communication, presentation, and interpersonal skills
• Ability to thrive in a fast-paced start-up environment

#Financial Technology #Compliance #Remote Work #Career Opportunity #Competitive Benefits

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