Compliance Associate Role

3 weeks ago

New York, New York, United States Public Full time

About Public:

Public is an investing platform that makes building a multi-asset portfolio fast, frictionless, and secure. Members can trade stocks, options, bonds, crypto, ETFs, and alternative assets-all in one place. Alongside its robust suite of investing tools, Public offers Alpha, a layer of artificial intelligence that provides fundamental data and custom analysis to support informed investment decisions.

Since its inception, Public has raised over $300 million. Investors include Accel, Tiger Global, Will Smith's Dreamers VC, The Chainsmokers' Mantis VC, and Shari Redstone's Advancit Capital, as well as renowned figures in business and culture, like Maria Sharapova, Tony Hawk, and NYU Stern professor Scott Galloway.

About the Compliance Associate Role:

As a Compliance Associate, you'll be an essential part of ensuring our compliance program runs smoothly and effectively. You'll work closely with teams across the firm, including brokerage, marketing, legal, and customer service, helping everyone stay aligned with industry regulations while fostering collaboration and clear communication.

This role is perfect for someone who enjoys working across departments and is excited about building relationships to support a culture of compliance. Beyond day-to-day tasks, you'll focus on improving processes, handling trade surveillance, and assisting with regulatory audits. You'll also play a key role in ensuring everything runs smoothly while helping the team stay proactive and efficient in achieving our goals.

Key Responsibilities:

  • Collaborate across departments to ensure the compliance program is effectively executed across all functional areas.
  • Drive process improvement by identifying areas for operational efficiency and implementing improvements across the compliance workflow.
  • Assist with regulatory audits by assisting in document retrieval and preparation for regulatory exams, and ensuring adherence to FINRA rules and firm policies.
  • Monitor compliance practices by performing ongoing reviews of firm policies, surveillance, and trade monitoring to maintain compliance with FINRA regulations.
  • Support marketing/advertisement reviews by collaborating with the compliance specialist and marketing team to assist with principal review on firm marketing and advertisements.
  • Conduct trade surveillance by monitoring for irregularities and ensuring proper reporting procedures are followed.
  • Manage daily operations by overseeing day-to-day compliance operations to meet service level goals, maintain compliance records, and collaborate with the team to address any emerging issues.

Requirements:

  • FINRA SIE, Series 7 and 63 licenses; FINRA Series 24 licensure strongly preferred or required within 60 days of hire.
  • Broad-based knowledge of financial products and services.
  • Strong problem-solving skills and a keen eye for identifying process improvements.
  • Excellent organizational skills and the ability to manage workflows efficiently.
  • Experience in regulatory compliance surveillance, oversight, or assurance programs.
  • Natural strong work ethic and ability to remain motivated in an independent work environment.
  • Exceptional communication skills, high EQ, and the ability to manage multiple projects across stakeholders.

Bonus:

  • FINRA Series 4, 53, and/or 86/87 licensure; experience in data-driven analysis using visualization tools such as Looker, Tableau, etc.

Public is an equal employment opportunity employer to all employees and applicants for employment and prohibits discrimination and harassment of any type.

We celebrate people of all race, color, religion, age, sex, national origin, disability status, genetics, veteran status, sexual orientation, gender identity, or expression.

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