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.

Responsibilities

  • 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

Requirements

  • 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

Compensation

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

Job Overview
Job alerts

Subscribe to our weekly job alerts below and never miss the latest jobs

Sign in

Sign Up

Forgotten Password

Job Quick Search

Cart

Basket

Share