Role in brief
Templum seeks a Compliance Associate or Officer to manage regulatory adherence for its broker-dealer activities. This remote role involves monitoring transactions, updating procedures, and supporting regulatory filings, ensuring the firm meets SEC and FINRA standards. Candidates with about five years of broker-dealer compliance experience and relevant FINRA licenses should apply.
About the role
This role involves ensuring Templum's adherence to securities laws and industry standards by managing its regulatory compliance program. Responsibilities include monitoring broker-dealer activities, conducting surveillance reviews of transactions and electronic communications, and maintaining Written Supervisory Procedures. The position also requires supporting regulatory filings and assisting with examinations and audits, ensuring all documentation and responses are accurate and timely.
A key part of the work is executing compliance testing programs, documenting findings, and tracking remediation efforts for any identified control gaps. The associate will also provide compliance input for developing internal technology, deliver training to employees, and support Anti-Money Laundering (AML) and Know Your Customer (KYC) processes. This involves overseeing controls related to offering reviews, sales practices, and investor suitability, especially for private placements and alternative investment products.
Success in this position means effectively upholding the firm's compliance framework, ensuring all activities align with SEC and FINRA rules. It requires a proactive approach to identifying and addressing regulatory risks, contributing to the firm's operational integrity, and fostering a culture of compliance across different business lines. The role demands strong analytical skills to interpret regulations and apply them to the firm's practices.
The salary for this role ranges from $75,000 to $100,000 annually, commensurate with experience and qualifications.
Skills that matter here
- SEC: This role requires monitoring broker-dealer activities to ensure compliance with SEC rules and assisting with SEC regulatory examinations and inquiries.
- FINRA: The position involves ensuring adherence to FINRA rules, supporting FINRA filings like Form U4 and U5, and assisting with FINRA examinations.
- AML: The associate will support Anti-Money Laundering monitoring processes.
- KYC: This role assists with Know Your Customer and Customer Identification Program processes.
- Compliance Testing: The position involves executing compliance testing programs and documenting findings, including identifying control gaps.
- Written Supervisory Procedures: The role requires maintaining, updating, and enhancing Written Supervisory Procedures to reflect regulatory changes and business practices.
Who this role suits
- A person with approximately five years of experience in broker-dealer compliance or a related function.
- Someone with strong working knowledge of SEC and FINRA regulatory frameworks.
- An individual who possesses demonstrated analytical, problem-solving, and organizational skills.
- A candidate with effective written and verbal communication abilities, comfortable interacting across all organizational levels.
From the employer
Key Responsibilities
- Monitor broker-dealer activities to ensure compliance with SEC and FINRA rules, as well as internal policies and procedures.
- Conduct ongoing surveillance reviews, including transaction blotter analysis and electronic communications monitoring.
- Maintain, update, and enhance Written Supervisory Procedures (WSPs) to reflect evolving regulatory requirements and business practices.
- Support regulatory filings, including Form U4, Form U5, and Form ATS submissions.
- Assist with regulatory examinations, inquiries, and internal/external audits, including preparation of documentation and responses.
- Execute compliance testing programs and document findings, including identification of control gaps and remediation tracking.
- Provide compliance input and subject matter expertise in the development and enhancement of internal technology and software solutions.
- Deliver compliance guidance and training to employees across business lines.
- Support Anti-Money Laundering (AML) monitoring and Know Your Customer (KYC) / Customer Identification Program (CIP) processes.
- Assist in overseeing controls related to offering review, sales practices, and investor suitability, particularly for private placements and alternative investment products.
Qualifications
- Approximately 5 years of experience in broker-dealer compliance or a related function.
- Exposure to trading, operations, or due diligence, preferably within a fintech or technology-enabled environment.
- Strong working knowledge of SEC and FINRA regulatory frameworks.
- Demonstrated analytical, problem-solving, and organizational skills.
- Effective written and verbal communication skills, with the ability to interact across all levels of the organization.
- FINRA Series 7 (required).
- FINRA Series 24 (required or willingness to obtain within a defined timeframe).
- Series 63 or Series 66 (required).
Salary and Benefits
- Salary range: $75,000 – $100,000, commensurate with experience and qualifications.
- Comprehensive benefits package, including health insurance, retirement plan, and paid time off.
Questions about this role
What is the remote work policy for this role?
This is a fully remote position.
What seniority level is this position?
This position is for a middle-level professional.
What are the required qualifications for this role?
Candidates need approximately five years of experience in broker-dealer compliance, strong knowledge of SEC and FINRA regulations, and must hold FINRA Series 7, Series 63 or 66, and either hold or be willing to obtain Series 24.
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