Regulatory Surveillance Director, SeedInvest
Posted on 6/7/2022
San Francisco, CA, USA
- BA/BS, or a similar degree, required
- 10+ years of experience with a registered US broker dealer or regulator
- Excellent written and verbal communication skills
- Attention to detail; excellent organizational skills
- Excellent analytical skills
- Ability to exercise sound judgment and escalate issues appropriately
- Strong project management skills with the ability to multi-task and manage competing priorities
- Ability to establish and maintain strong relationships across multiple departments and regions
- Team player and ability to work collaboratively
- High degree of familiarity and comfort in working with complex IT systems and processes, and operating in a technical environment
- Experience/familiarity with Slack, Apple MacOS and G-Suite
- Assist the Chief Compliance Officer enhance and implement the compliance program including the creation, maintenance, and implementation of relevant compliance policies and procedures
- Manage broker-dealer Rule 4530 filings
- Determine if employees are candidates for FINRA registration/licensing and coordinate the licensing process. Process Form U4/U5
- Review, approve and maintain pre-clearance requests and Outside Business Activity records
- Monitor and develop reporting to address unusual behavior and identify potential violations in employee communications
- Develop, coordinate and follow-up with employees regarding initial, annual training and continuing education requirements
- Assist with regulatory inquiry and examination responses, and conduct compliance initiatives, as needed
- Review and approve personal brokerage accounts and private securities transactions requests of registered representatives and maintain relevant records
- Collaborate cross-functionally with the other Compliance and Legal roles
- Multistakeholder - you have dedication and commitment to our customers, shareholders, employees and families and local communities
- Mindful - you seek to be respectful, an active listener and to pay attention to detail
- Driven by Excellence - you are driven by our mission and our passion for customer success which means you relentlessly pursue excellence, that you do not tolerate mediocrity and you work intensely to achieve your goals
- High Integrity - you seek open and honest communication, and you hold yourself to very high moral and ethical standards. You reject manipulation, dishonesty and intolerance
Platform for businesses to accept payments and send payouts
Circle's mission is to raise global economic prosperity through programmable internet commerce. The company is a global financial technology firm that’s at the center of digital currency innovation and open financial infrastructure.
- Paid time off - We offer flexible paid time off — take what you need as long as it works with you and your team, and all Circle employees get mobile phone and home office reimbursements.
- Health coverage - No matter where you live, we offer a market competitive suite of benefits. Enroll in health, dental, vision, disability, and life insurances, and Circle covers some or all of the premiums.
- Invested in your future - All U.S. full-time and part-time employees enjoy 401(k) and pensions (with 4% company match if you contribute 5% or more), and share Circle’s success via company equity awards.
- Learning & development - Your individual growth and development is important to us and we provide the resources to help you grow your career while at Circle.
- We are Multistakeholder - As an institution, we exist in a broad stakeholder context, which means that we must organize, incentivize and measure ourselves against meeting the needs of all of our stakeholders — our customers, our shareholders, our employees and families, our local communities and our world.
- We are Mindful - We seek to be present and aware, to be respectful, active listeners (with each other and with our customers alike), and to pay attention to detail. We don’t rush to judgement, and when we are swept up by strong emotions we patiently observe and acknowledge them and try to not just react. Our mindfulness leads to better understanding, and more respectful, careful and deliberate choices.
- We are Driven by Excellence - We are driven by our mission and our passion for customer success. Being driven also means that we relentlessly pursue excellence, that we do not tolerate mediocrity, that we reward based on merit, and that we work intensely to achieve our goals. Being driven doesn’t mean that we are assholes and plough over people or tolerate a culture of aggressiveness. We are a team. Part of our drive is to bring everyone along in our collective achievement.
- We are High Integrity - We seek open and honest communication, and hold ourselves to very high moral and ethical standards. When we say we will do something, we do it. When we are having difficulty and need help, we talk about it. We treat each other and our customers with the utmost respect. We reject manipulation, dishonesty and intolerance. We welcome vulnerability and uncertainty, which needs to be listened to in order to bring people along, and helps us to constantly learn and improve. Our customers and partners implicitly experience us as high integrity, and our customer centric choices demonstrate this to them again and again.