Compliance Manager at Financial Technology Partners / FT Partners · New York, NY · Joined
FP
Compliance Manager
Financial Technology Partners / FT Partners · New York, NY · Just now · 0 applicants
NewOn-siteFull-timeManager
Pay
Pay not listed
Workplace
On-site
Job type
Full-time
Level
Manager
Team: Compliance · Source: jobright · Posted by joined-scrapper
About the role
The Compliance Manager will oversee regulatory compliance, design the firm's compliance program, and keep management informed of regulatory developments. The role requires deep FINRA and SEC experience, strong communication skills, and the ability to train employees on compliance matters.
What you’ll do
Oversee and execute regulatory compliance
Monitor employee and business compliance
Keep management informed of regulatory developments
Design the firm's compliance program
Maintain firm policies and procedures
Execute KYC/AML/CIP checks and sanctions compliance
What you’ll need
4+ years of FINRA and SEC compliance experience
Working knowledge of FINRA and SEC frameworks
Experience with FINRA Gateway (U4s, U5s, Form BD, CMA)
Experience writing and maintaining Written Supervisory Procedures
FINRA Series 7 and Series 24
Four year college degree and U.S. work authorization
Original job description
Financial Technology Partners (FT Partners) is an investment banking firm focused exclusively on the financial technology sector. The Compliance Manager oversees and executes regulatory compliance, monitors employee and business compliance, keeps management informed about regulatory developments, and designs the firm’s compliance program.A candidate…