About the Role
Take ownership across multiple broker-dealer supervisory functions. You will handle broker-dealer communications reviews, including pre-approval of retail communications under FINRA Rule 2210 and supervise internal communications. You will oversee certain registered person oversight responsibilities, including employee supervision. You will provide compliance coverage across multiple areas within a cross-functional model. You will support compliance advisory for product and business priorities. You will contribute to governance activities including board reporting, policy maintenance, and compliance program documentation. You will assist with regulatory examination and inquiry responses, including document production and narrative drafting. You will use AI tools as a core part of daily execution, and identify opportunities to automate and improve compliance processes, contributing to a migration to an AI-first operating model.
Requirements
- 5+ years of experience in broker-dealer compliance, regulatory operations, or a related supervisory function at a FINRA-registered firm.
- Active FINRA Series 7 and Series 24 and Series 63 registrations (preferred), or ability to obtain within 120 days of hire.
- Demonstrated proficiency with AI tools- you actively use generative AI in your daily work to draft, analyze, review, and automate tasks, and can articulate how you evaluate AI outputs for accuracy and risk.
- Direct experience with communications supervision (FINRA Rules 2210, 3110), including keyword-based and sample review programs.
- Familiarity with Smarsh or comparable communications surveillance platforms.
- Experience supporting or responding to FINRA or SEC examinations.
- Excellent written communication skills - you can draft regulatory responses, compliance memos, and governance artifacts that are clear, precise, and examination-ready.
- Comfort operating in a fast-paced environment where you are expected to own outcomes across multiple workstreams.
- Intellectual curiosity and a bias toward experimentation — you stay current with evolving AI tools and look for ways to apply them to compliance challenges.
Responsibilities
- Own broker-dealer communications reviews, including pre-approval of retail communications under FINRA Rule 2210 and supervision of internal communications.
- Own certain registered person oversight responsibilities, including employee supervision.
- Provide compliance coverage across many other areas within a cross-functional coverage model.
- Support compliance advisory for product and business priorities.
- Contribute to governance activities including board reporting, policy maintenance, and compliance program documentation.
- Assist with regulatory examination and inquiry responses, including document production and narrative drafting.
- Use AI tools as a core part of daily execution, and also identify opportunities to automate and improve compliance processes, contributing to the team’s migration to an AI-first operating model.
Benefits
- Remote work
- Medical insurance
- Flexible time off
- Retirement savings plans
- Modern family planning