As the Compliance Manager at Brex, you will play a critical role in developing, implementing, and maintaining the broker-dealer compliance program. You will also provide support for the payments compliance program as needed. The role will report directly to the Chief Compliance Officer of Brex Treasury.


  • Assist in the development, implementation, and maintenance of the broker-dealer and payments compliance programs, including policies, procedures, systems monitoring, technology, and training
  • Provide appropriate support, advice, and training to relevant front-office and operational personnel with respect to FINRA and SEC rules and regulations, licensing requirements, supervision, and other compliance-related issues
  • Review and maintain the Firm’s Written and Supervisory Procedures (WSP’s)
  • Assist in the management of internal and external regulatory examinations, audits, inquiries, and similar reviews in relation to the broker-dealer and payments business activities
  • Identify current and emerging regulatory risks, implement risk mitigation plans, and provide reports to the Senior Director of Regulatory Compliance and key senior management
  • Work with Compliance, internal and external legal counsel to adapt to regulatory developments or address the compliance implications of new business products and services
  • Investigate, develop, and implement appropriate action plans in response to regulatory, testing, or audit findings
  • Review and approve marketing materials and other public communications related to the broker-dealer


  • 5+ years of compliance experience in a compliance department of a registered broker-dealer
  • Extensive knowledge of SEC and FINRA rules
  • Excellent written and verbal communication skills and interpersonal skills to work effectively with internal and external stakeholders
  • Detail-oriented, accurate, organized, and able to set priorities
  • Ability to multi-task and adapt to shifting priorities in a fast-paced environment
  • Series 7, 24

Bonus points

  • Knowledge and experience within the Financial Technology (“FinTech”) industry
  • Experience building a broker-dealer program from scratch
  • Experience leading or playing an active role in regulatory audits
  • Knowledge of money transmission laws
  • Experience with ACH, Wire and Check compliance


The expected salary range for this role is $113,000-$142,000 USD.

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