Compliance Officer

1 week ago

New York, New York, United States Sharegain Full time

Sharegain began with one question: If the largest institutions solely exercise the right to lend their stocks, bonds, and ETFs, what would it take to unlock this revenue opportunity for every investor?

Our team of experts in the UK, US and Israel built the solution: a platform that empowers online brokers, private banks, and wealth managers to offer securities lending to their clients. We call it SLaaS: Securities Lending as a Service. Its a fully digital, customizable, end-to-end solution that automates front- and back-office operations. Institutions and investors are now free to earn more from what they own.

Every Sharegainer has their own backstory, but we all share an ambition to do things differently bigger, better, and greater. Together were on a mission to democratize capital markets by building a more liquid world. The more we share, the more we all gain.

About the role

We are looking for a diligent Compliance Officerto join the rapidly growing team of our US broker-dealer business, Sharegain Securities Inc. (SSI), in New York. As the first Compliance hire in NYC, you will be responsible for ensuring SSIs compliance with the relevant legal and regulatory requirements, implementing SSIs regulatory compliance program and working closely with key stakeholders across the business. This role is for you if you are detail-oriented, methodical, and passionate about continuously increasing your regulatory knowledge.

You will:

  • Provide support to the Chief Compliance Officer (based in London, UK) and SSI General Manager on all US regulatory matters
  • Execute on the SSIs Regulatory Compliance program to ensure that SSI remains in compliance with all applicable federal and state regulatory requirements
  • Maintain and periodically review Written Supervisory Procedures (WSPs) and SSIs policies and procedures based on business changes and regulatory requirements
  • Ensure that SSIs policies and the WSPs are aligned with the relevant Group policies and procedures
  • Perform reviews of personal trading and investment accounts held by Registered Representatives; set-up and maintain broker feeds in the employee compliance system
  • E-comms surveillance
  • Manage the relationship with SSIs Reg Ed provider, set-up and assign relevant training to US-based personnel, and monitor compliance with continuing education and Annual Compliance Meeting requirements
  • Assistance with third party due diligence requests and regulatory audits as needed
  • Perform AML annual testing and training
  • Support and guide SSI stakeholders with respect to various compliance needs arising from time to time
  • Identify efficiencies and propose improvements to the SSI and Group Compliance Programs, where relevant

Requirements

  • Excellent working knowledge of FINRA and SEC regulatory requirements as evidenced by several years of experience in Compliance, Risk, Audit or other oversight functions with a regulated entity within Capital Markets, such as a bank, broker-dealer or another regulated fintech
  • Strong academic background (Bachelors degree or equivalent). JD and/or professional Compliance qualifications e.g. CRCP are a plus
  • FINRA exams (e.g. Series 14 or Series 24) are a plus or must be willing to take them
  • Experience with GRC (Governance, Risk and Compliance) software e.g. employee compliance management systems and e-comms surveillance software
  • Excellent written and verbal communication skills and attention to detail
  • No FINRA disclosures

Personal skills

  • Unimpeachable integrity and willingness to do the right thing.
  • A self-starter who is able to work independently with minimal supervision.
  • Ability to proactively identify and propose improvements to existing processes and controls. Focus on solutions.
  • A team player who builds relationships and engages others to achieve results.
  • Ability to thrive within a high-growth environment.

Sharegain is an equal opportunity employer.Employees and contractors, as well as prospective employees and contractors, will all be treated equally and fairly.We are passionate in our belief that a diverse workforce is central to our success, and we are proud to reflect this within our recruiting processes.

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