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Full-Time

Compliance Consultant

Marketing

Confirmed live in the last 24 hours

Atomic

Atomic

11-50 employees

Offers fractional trading and alternative investments

Fintech
Financial Services

Mid, Senior

Remote in USA

Category
Legal Consulting
Consulting
Required Skills
UI/UX Design
Marketing
Requirements
  • FINRA Series 7 & 24 required
  • 2+ years experience reviewing marketing materials; strong understanding of FINRA Rules 2210 and 2211, the SEC Marketing Rule, and interacting with FINRA’s Marketing Department
  • 5+ years financial services experience with a Broker Dealer and/or RIA
  • Experience drafting policies and procedures
  • Technical aptitude and experience working with IT or Engineering department (in terms of Compliance collaboration) is important
  • Knowledgeable of financial markets and investing
  • Experience with systems such as Red Oak and Global Relay is a plus
  • College degree preferred
  • Knowledge of trading desk and back office mechanics - equity securities a must, treasuries / options nice to have
Responsibilities
  • Focus on marketing reviews for the firm’s Broker-Dealer, RIA, and activities of our Partners.
  • Interact with Partners of the firm and provide guidance relating to their website, UI, App, and other marketing materials
  • Assist with leveraging technology to enhance the automation of compliance
  • Draft broker-dealer and RIA policies and procedures
  • Draft and ensure we develop proper internal control procedures relating to Marketing reviews, Partner Compliance, and other areas.
  • Assist with responding to regulatory inquiries while explaining complex workflows clearly and concisely
  • Strong analytical ability to research client complaints, draft correspondence to regulators and customers, and make related filings
  • Effective identification and internal reporting of operational, financial, and regulatory risks
  • Conduct marketing and advertising reviews to ensure they comply with FINRA rules
  • Oversee individual and firm registrations with FINRA and the SEC
  • Assist with obligations as it pertains to "Access Persons" for the RIA and "Registered and NRFs" for the broker-dealer

AtomicVest offers investment solutions in the fintech sector, focusing on individual investors and financial advisors. The company specializes in fractional trading, allowing users to buy and sell stocks in any dollar amount, which helps diversify portfolios without large investments. Additionally, AtomicVest provides alternative investing options, including commodities and real estate, to enhance returns and reduce risk. With developer-friendly APIs and customizable platform experiences, AtomicVest aims to transform the investment landscape by providing flexible and personalized investment options.

Company Stage

Series A

Total Funding

$25.1M

Headquarters

San Francisco, California

Founded

2020

Growth & Insights
Headcount

6 month growth

-8%

1 year growth

-8%

2 year growth

16%
Simplify Jobs

Simplify's Take

What believers are saying

  • The recent $25 million Series A funding round, backed by prominent investors like QED Investors and Softbank, indicates strong financial support and growth potential.
  • AtomicVest's dual business model, serving both direct consumers and financial advisors, broadens its market reach and revenue streams.
  • The customizable front-end experiences allow clients to tailor the platform, enhancing user satisfaction and engagement.

What critics are saying

  • The fintech sector is highly competitive, with numerous startups and established players potentially overshadowing AtomicVest.
  • Reliance on transaction fees and premium services for revenue may be vulnerable to market fluctuations and consumer behavior changes.

What makes Atomic unique

  • AtomicVest's fractional trading feature allows investors to diversify portfolios with minimal capital, unlike traditional brokers requiring larger investments.
  • The developer-friendly APIs enable seamless integration with other financial platforms, setting AtomicVest apart from competitors with less flexible solutions.
  • Offering alternative investments like commodities, real estate, and private equity provides a unique diversification strategy not commonly available in the market.