Investment Advisor Compliance and Operational Risks Controls Manager

FULL-TIME | NYC (IN-PERSON)

About Moment

• Electronic trading has skyrocketed, with corporate bond electronic volumes growing 10x over the last decade
• Rising rates - from near zero to roughly 5% - have sparked a surge in demand
• Financial institutions are increasingly partnering with fintechs to modernize legacy infrastructure
• AI advances are enabling workflow automation that was once thought impossible

The Role

We prioritize risk controls to ensure the seamless execution of our mission. We believe that playing by the rules is essential to our success. We are looking for a new teammate to be a founding member of our risk team. This is an exciting opportunity to focus substantively on the development and application of risk disciplines and acquire full exposure to the fixed income market as we make it easy to understand and accessible to retail customers. 

In this role, you will:

• Serving as the chief compliance officer of Moment Advisors.
• Working closely with Moment Advisors’ management to advise on investment advisory regulatory matters.  
• Working closely with the engineering teams to build and maintain the Portfolio Management System, and in particular:
• Developing an investment compliance framework:
• Designing, building, and maintaining a framework of controls to monitor compliance risks, including:
• Representing Moment in discussions with counterparties and regulators about our framework of risk controls.

What We’re Looking For:

• 5+ years experience in securities clearing and settlement processes
• Deep understanding of Investment Advisors Compliance statutory and regulatory requirements
• Familiarity with trading processes (fixed income ++)
• A high standard, for yourself and others, when working in a trading technology environment
• Effective communication skills — ask questions, assume good intentions, default to transparency, rigor and empathy that help you thrive in a collaborative and high-performance environment.

Compensation & Benefits

For this role, the salary range is $175,000 to $225,000 + equity. Actual compensation will vary based on skills, experience, and interview performance. 

In addition to a competitive salary and equity package, we provide every employee with:

• Grow into the leader you aspire to be. At a fast-growing company in an expanding industry, you can enjoy career growth.
• Comprehensive wellness package, providing top-notch health, dental, and vision coverage with 100% company reimbursement for most plans.
• Competitive compensation, top-notch gym stipends ($150), and equity into the company.
• Flexible PTO policy that people actually use — on average, people take three weeks off per year.
• 401k with employer match (4%) to help you save for your future.
• Paid lunches in the office, every day through Uber Eats and a free UberOne membership ($25/meal).