Head of Compliance
- Recruiter
- Apollo Solutions
- Location
- New York, United States
- Salary
- $180000 per annum
- Posted
- 10 Nov 2023
- Closes
- 09 Dec 2023
- Ref
- BH-11032
- Job Type
- Compliance & Regulation, Compliance
- Employer Sector
- Financial Services
- Contract Type
- Permanent
- Hours
- Full Time
Head of Compliance
FinTech
Up to $180,000 base salary
A growing FinTech in brokerage is looking for someone to take over primary responsibility for Compliance activities across the business in a generalist advisory and hands on role.
Responsibilities:
FinTech
Up to $180,000 base salary
A growing FinTech in brokerage is looking for someone to take over primary responsibility for Compliance activities across the business in a generalist advisory and hands on role.
Responsibilities:
- Spearheading compliance policies as well as coordinating and monitoring the effectiveness of compliance support.
- Manage the relationship with FINRA, including regular reporting.
- Provide sound regulatory advice to C-Suite executives.
- Providing an effective training programme as required.
- Overall responsibilityof serving as AML/KYC/CTF lead, mitigating business wide risks.
- Extensive knowledge of FINRA and SEC requirements, and familiarity in building regulatory relationships.
- 5+ years working for a FINRA regulated organisation.
- Natural risk manager and problem solver, willingness to continually learn and embrace change.
- Experience in surveillance and monitoring in brokerage is preferable.
