[Hiring] Compliance Manager @Onepay
Apr 08, 2025 - Onepay is hiring a remote Compliance Manager. 💸 Salary: $140,000 to $160,000. 📍Location: USA.
Role Description
We are seeking a proactive and experienced Compliance Manager to join our growing team at a new FINRA-registered broker-dealer. This is a dynamic role requiring a hands-on professional with the ability to develop, implement, and manage compliance programs, policies, and procedures. The ideal candidate will be a generalist with the expertise to oversee supervisory functions, collaborate with regulators and internal stakeholders, and help ensure the firm operates in compliance with all applicable FINRA, SEC, and other regulatory requirements.
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Policy Development and Implementation:
- Design, implement, and update compliance policies and procedures to ensure alignment with regulatory requirements.
- Maintain an effective compliance program tailored to the firm's size, scope, and activities.
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Regulatory Oversight:
- Serve as a point of contact for FINRA, SEC, and other regulatory bodies.
- Prepare for and manage regulatory examinations, audits, and inquiries.
- Maintain up-to-date knowledge of applicable laws, rules, and regulations and advise senior management of key developments.
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Supervisory and Risk Management Functions:
- Perform and oversee supervisory reviews, including trade surveillance, electronic communications monitoring, and other supervisory functions.
- Identify potential compliance risks and develop strategies to mitigate them.
- Conduct internal audits and compliance testing to assess the firm’s adherence to policies and regulations.
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Training and Stakeholder Collaboration:
- Develop and deliver compliance training programs to staff at all levels.
- Partner with internal stakeholders, including legal, operations, and business units, to provide compliance guidance and ensure effective communication.
- Advise senior management on compliance issues and participate in strategic decision-making.
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Documentation and Reporting:
- Maintain accurate records of compliance activities, including policies, supervisory procedures, and audit findings.
- Prepare compliance reports for senior management and the board of directors.
- File regulatory reports and disclosures in a timely and accurate manner.
Qualifications
- Bachelor’s degree in finance, business, law, or a related field.
- Minimum of 5-7 years of compliance experience in a broker-dealer or financial services environment.
- FINRA Series 7, 24, or 27 licenses (or willingness to obtain within a specified timeframe).
- Strong knowledge of FINRA and SEC rules and regulations.
- Demonstrated ability to build and manage compliance policies, procedures, and programs.
- Excellent communication skills, with the ability to interact effectively with regulators and internal stakeholders.
Requirements
- Experience with risk management and supervisory processes.
- Proven ability to work in a fast-paced, startup environment.
Key Attributes
- Strategic thinker with a detail-oriented approach.
- Self-starter with strong organizational and multitasking abilities.
- Collaborative mindset with strong interpersonal skills.
Benefits
- Competitive base salary, stock options, and health benefits from Day 1.
- 401(k) plan with company match.
- Remote-friendly (US), flexible time off (FTO), and opportunities for growth.
- A high-growth, mission-driven, inclusive culture where your work has real impact.
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| 📍 | Be aware of the location restriction for this remote position: USA |
| ‼ | Beware of scams! When applying for jobs, you should NEVER have to pay anything. Learn more. |
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Salary
💸
$140,000 to $160,000
|
Remote
Location
USA
|
|
Job Type
full-time
|
Posted
Apr 08, 2025
|
| 📍 | Be aware of the location restriction for this remote position: USA |
| ‼ | Beware of scams! When applying for jobs, you should NEVER have to pay anything. Learn more. |
