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About the Role

The Compliance Manager will be responsible for overseeing and executing FINRA, SEC, and FCA regulatory compliance. This role requires a strong understanding of FINRA and SEC frameworks, staying updated on regulatory developments, and advising management on strategic decisions. The ideal candidate will have experience in daily compliance monitoring, designing compliance programs, and tailoring them to the firm's needs.

Responsibilities

Oversight and execution of FINRA, SEC, FCA, and related regulatory compliance.
Actively keep abreast of regulatory developments as they apply to the firm’s business model.
Advise firm management on strategic decision making.
Monitor employee and business compliance matters on a day-to-day level.
Design and tailor a compliance program to meet the firm’s evolving compliance needs.
Public speaking and live training experience.
Tailor training materials to the firm based on the regulatory landscape.
Prepare high impact materials in multiple formats.
Participate effectively in both internal and external meetings.
Contribute to building a positive team spirit.
Keep commitments.
Inspire the trust of others.
Work with integrity and ethically.
Uphold firm values.
Perform under pressure amid tight deadlines.
Effectively prioritize and plan.
Collaborate across teams and levels, both internally and externally.
Execute FINRA Gateway functions including U4s & U5s, Form BD, CMA.
Handle ad hoc regulatory inquiries.
Write and maintain firm policies and procedures including Written Supervisory Procedures.
Execute KYC/AML/CIP checks.
Comply with sanctions and Treasury requirements.
Oversee employee personal investments and OBAs.
Conduct e-comms surveillance and management.
Ensure compliance with books and records requirements.
Perform regular compliance testing.
Manage certification under FINRA 3130.

Requirements

4+ years of FINRA and SEC compliance experience preferably in Investment Banking or Private Equity.
FINRA Series 7 and Series 24 strongly preferred; or must be able to obtain within a short period.
Good knowledge of FINRA regulations and applicable regulatory requirements and expectations related to investment banking and broker-dealer activities.
Working knowledge of federal and state laws and regulations applicable to investment banking including a general knowledge of SEC regulatory requirements and framework.
Ability to articulate regulatory requirements to all levels of employees, from new analysts to the head of the firm.
Experience with FINRA Gateway including U4s & U5s, Form BD, CMA, as well as handling ad hoc regulatory inquiries.
Experience writing and maintain firm policies and procedures including Written Supervisory Procedures.
Understanding and experience executing KYC/AML/CIP checks, complying with sanctions and Treasury requirements, oversight of employee personal investments and OBAs, e-comms surveillance and management, books and records requirements, regular compliance testing, and certification under FINRA 3130.
Experience with FINRA Rule 2241 regarding equity research is a major plus.
Familiarity with compliance systems and related platforms such as DocuSign, Smarsh, ComplySci, and Dow Jones Risk Center a plus.
Knowledge of FCA and EU regulatory requirements a plus.
Four year college degree required.
JD preferred.
U.S. work authorization.

Skills

FINRA regulatory compliance
SEC regulatory compliance
FCA regulatory compliance
FINRA regulatory frameworks
SEC regulatory frameworks
Regulatory developments
Strategic decision making
Compliance monitoring
Compliance program design
Public speaking
Live training
Training material development
Writing
Verbal communication
Meeting participation
Teamwork
Trustworthiness
Integrity
Ethical conduct
Pressure handling
Prioritization
Planning
Collaboration
FINRA Gateway
U4s & U5s
Form BD
CMA
Regulatory inquiries
Policy writing
Procedure writing
Written Supervisory Procedures
KYC/AML/CIP
Sanctions compliance
Treasury requirements
Employee personal investments oversight
Outside Business Activities (OBAs) oversight
E-comms surveillance
E-comms management
Books and records requirements
Compliance testing
FINRA 3130 certification
FINRA Rule 2241
Equity research
DocuSign
Smarsh
ComplySci
Dow Jones Risk Center
FCA regulatory requirements
EU regulatory requirements

Experience Level

4+ years of FINRA and SEC compliance experience

Education Level

Four year college degree
JD preferred

About the Company

Financial Technology Partners (aka “FT Partners”) is the only investment banking firm focused exclusively on the financial technology sector.
The firm broadly defines the sector as the dynamic convergence of technology-based solutions and financial services.
FT Partners was recently recognized as "Dealmaker of the Year" and "Investment Banking Firm of the Year" by The M&A Advisor.
The firm was founded by Steve McLaughlin, Managing Partner, formerly a senior investment banker in Goldman Sachs & Co.’s Financial Technology Group and Financial Institutions Group in New York and San Francisco.
The firm's Founder and senior bankers are all highly experienced investment bankers formerly with the financial technology, M&A and investment banking groups of Goldman Sachs & Co in New York, San Francisco, London and Los Angeles.
Managing Partner and Managing Directors formerly of Goldman Sachs and JP Morgan.
Award-winning execution; Investment Bank of the Year / Boutique of the Year Awards (among many others).
Executing both billion dollar and early stage / high-growth VC transactions.
Excellent career path, strong and competitive compensation.
Unparalleled deal flow with premier client base.
Access to world-class executives at high-growth companies.
Dominant footprint in the one of largest sectors: financial technology.
Top-notch financial sponsor relationships.
Close-knit, rapidly growing team.

Equal Opportunity

Financial Technology Partners is an equal opportunity employer committed to diversity and inclusion.
We are pleased to consider all qualified applicants for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, age, disability, protected veterans status, Aboriginal/Native American status or any other legally-protected factors.