Key Responsibilities

• Supervise and monitor registered representatives’ activities, ensuring all communications comply with regulatory standards.
• Conduct regular reviews of flagged emails and call notes for red-flag keywords and potential compliance issues.
• Review, assess, and file customer complaints as needed, including those flagged automatically through internal systems.
• Oversee and approve marketing and advertising materials, ensuring they meet broker-dealer and regulatory guidelines.
• Provide feedback and guidance to team members involved in compliance reviews to ensure consistency and accuracy.
• Develop and manage AI-driven supervisory agents that automate routine compliance monitoring, while ensuring proper controls, auditability, and human review of escalated issues.
• Maintain accurate documentation of supervisory reviews and approvals.
• Collaborate with the legal and compliance leadership team to refine internal policies and escalation procedures.

• 2+ years of experience in broker-dealer compliance or supervision.
• Strong working knowledge of FINRA and SEC regulations.
• Excellent attention to detail and organizational skills, particularly when managing multiple reviews.
• Proven ability to interpret compliance policies and provide constructive feedback to staff.
• Strong written communication skills for documenting findings and communicating with stakeholders.
• Series 24 license is a plus (not required).
• Bachelor’s degree or equivalent experience preferred; no legal degree required.

Perks & Benefits

• 100% covered Medical/Dental/Vision - pick your own plan
• Generous Equity package
• Unlimited PTO and sick days
• Paid WeWork Usage (optional)
• 100% Remote
• Team Off-sites and Celebration Dinners
• Paid Maternity/Paternity leave
• 401K program
• Flexible hours
• Be part of one of the fastest growing parts of the FinTech Industry
• A chance to work with a highly profitable and rapidly expanding startup (not VC funded)