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Compliance Officer



Software Engineering, Legal
Posted on Friday, June 2, 2023

Compliance Officer

About the role

Within 1 month, you will

Become well-versed in the firm's culture, product offerings, and organizational structure by meeting with key partners and reviewing key documentation

Within 3 months, you will

Work on daily trade monitoring and surveillance
Identify opportunities to enhance the efficiency of trading, AML, and other processes
Work with the COO to support new and existing projects
Proactively identify strategic goals that are consistent with and in furtherance of the firm's mission statement
Have regular interactions with key business and product partners.

Within 12 months, you will

Be fully integrated into the compliance program
Oversee key strategic initiatives
Provide subject matter expertise to key business partners
Proactively work to identify and mitigate regulatory, legal and reputational risk
Model Vested's cultural values to other team members and employees

What we are seeking

Passionate about Fintech
Driven to learn fast, be creative, and win as a team
Experience in financial services, with 5+ years of compliance experience in a broker-dealer and/or SEC registered investment advisory environment
Series 7 required; Series 24 preferred, but needed within 3-6 months of hire date
Past regulatory experience helpful
Excellent writing ability
Self-starter with the ability to work both on one's own and as a part of a team in a fast-paced startup environment
Ability to identify issues, escalate appropriately, and see the problem through to completion
Experience building out AML/BSA Programs (including building out policies and procedures, conducting AML training, investigation management, SAR filings, and transaction monitoring) based on business needs and risk tolerance
Ability to communicate clearly and effectively with people in financial and non-financial roles, including Executives
Ability to influence, challenge, and support senior leadership. Experience balancing cross-functional stakeholders pushing in different directions. This role will reward entrepreneurial and creative problem solvers who approach challenges with curiosity and a solutions-oriented mindset

Application form