Compliance Officer

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

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.

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

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

Detail-oriented

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