Full-Time

Founding Compliance Hire

Posted on 5/21/2024

Arc Technologies

Arc Technologies

51-200 employees

Provides banking management and growth services

Financial Services
Data & Analytics

Senior

Oakland, CA, USA + 1 more

Required Skills
Communications
Management
Requirements
  • Five years of regulatory or securities compliance experience
  • Strong working knowledge of the Advisers Act and SEC rules and regulations as it relates to RIAs
  • Thorough understanding of fiduciary responsibilities and securities products
  • Excellent written and verbal communication skills
  • Analytical skills and ability to perform complex research
  • Proficiency using Google Workspace, Notion, and other programs used by Arc
Responsibilities
  • Assist in providing regulatory oversight, risk management, and policy implementation for all investment advisory programs
  • Identify process improvements and strategies for execution to assist management with achieving compliance objectives
  • Maintain Form ADV Parts 1 and 2A
  • Maintain Policies and Procedures, Code of Ethics, and overall compliance program
  • Identify and assess new or changing regulatory issues and market trends
  • Serve as a resource to management and firm personnel regarding special projects and regulatory initiatives
  • Collaborate with the investment advisory team on due diligence of products
  • Support regulatory examinations and assist in the implementation of new policies and procedures
  • Identify risks and conflicts of interest related to the firm’s business models
  • Support management related to RIA activity, compliance, and record keeping
  • Assist team members with research, assigned tasks, and provide training
  • Complete ad hoc tasks as needed by management

The company offers a platform for everyday banking management, yield maximization, cash safeguarding, and growth capital access, in collaboration with top banks. The main technologies utilized include banking integration, yield optimization, cash management, and capital access solutions.

Company Stage

Series A

Total Funding

$342M

Headquarters

San Francisco, California

Founded

2021

Growth & Insights
Headcount

6 month growth

12%

1 year growth

12%

2 year growth

12%

Benefits

Competitive salary & equity

medical, dental, and vision coverage

monthly health and wellness stipend

Mental health resources

Learning & development stipends

Unlimited PTO

Paid holidays

Flexible remote work options

Paid parental leave