Description

You will serve as the clearing operations expert and own surveillance and monitoring functions for our broker-dealer. You'll be the dedicated clearing compliance resource, shaping how these functions mature as the business scales.

Requirements

• 8+ years of hands-on compliance experience at a FINRA-member broker-dealer with deep knowledge of clearing operations
• Experience in a fintech environment strongly preferred
• Strong knowledge of FINRA and SEC rules
• B.A./B.S. degree in relevant fields
• Active Series 7 and Series 24 licenses required; Series 4 required within 90 days
• Technologically savvy
• Superb communication
• Resilience
• Creative problem solving

Responsibilities

• Serve as the firm's primary compliance SME for all clearing-related matters
• Act as the primary compliance point of contact for clearing operations
• Test and monitor clearing controls and own development and maintenance of related WSPs
• Represent Altruist as clearing operations SME in regulatory exams, audits, and inquiries
• Own trade surveillance and monitoring for all trading activity
• Oversee the firm's e-comms surveillance program
• Lead the Insider Trading Policy and related workstreams
• Steward the customer complaint regulatory lifecycle
• Partner on new product initiatives providing compliance guidance