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Full-Time

Compliance Officer / Brokerage Operation

Confirmed live in the last 24 hours

dub

dub

1-10 employees

Regulated copy-trading platform with commission-free investing

Financial Services

Compensation Overview

$60k - $150kAnnually

+ Equity

Senior, Expert

New York, NY, USA

Category
Risk & Compliance
Legal & Compliance
Required Skills
Marketing
PowerPoint/Keynote/Slides
Requirements
  • Have or develop strong understanding of FINRA, SEC and other relevant regulatory rules, regulations and guidelines
  • 7+ years of broker dealer experience preferred
  • Previous broker dealer compliance or other financial services responsibilities a plus
  • Knowledge of FINRA Rules required
  • Proficient in Microsoft Office Suite (Word, Excel, PowerPoint)
  • Bachelor’s Degree (or equivalent relevant experience)
  • Series 7 24, and 63 licenses required
Responsibilities
  • Assist CCO with managing the administration of the broker dealer program
  • Assist with AML and CIP requirements for onboarding new customers
  • Assist with servicing client related requests/issues
  • Compile information required to submit Firm regulatory filings
  • Oversee registration of personnel, including pre-hire review, obtaining required documentation, submitting regulatory filings, and the maintenance of records
  • Review employee requests, such as new brokerage accounts, outside business activities, and gifts and entertainment
  • Coordinate with CCO to develop the Firm’s internal compliance dashboard for servicing client accounts, managing the books and records database, corporate actions, and other operational tasks
  • Review and maintain broker dealer written supervisory procedures and operational procedures
  • Assist with administration of marketing materials workflow
  • Assist with audits and regulatory inquiries and exams, including document and data retrieval
  • Assist CCO with scheduled meetings, including maintaining agenda and follow up items
  • Support and assist with audits, special projects and ad hoc requests/tasks as required

dub is a regulated copy-trading platform in the United States, offering commission-free investing and the ability to copy the investment portfolios of industry experts and financial influencers. The platform utilizes bank-grade encryption and SIPC insurance to secure accounts, and allows users to invest in thematic portfolios through a simple mobile application.

Company Stage

Seed

Total Funding

$17M

Headquarters

New York, New York

Founded

2021

Growth & Insights
Headcount

6 month growth

0%

1 year growth

0%

2 year growth

0%