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Senior Compliance Manager (Brokerage)


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Job Details

Location: Posted: Feb 17, 2023

Job Description

About Revolut People deserve more from their money. More visibility, more control, more freedom. And since 2015, Revolut has been on a mission to deliver just that. With an arsenal of awesome products that span spending, saving, travel, transfers, investing, exchanging and more, our super app has helped 25+ million customers get more from their money. And we're not done yet. As we continue our lightning-fast growth, we believe that two things are essential to continuing our success: our people and our culture. So far, we have 5000+ people working around the world, from our great offices or remotely, on our mission. And we're looking for more. We want brilliant people that love building great products, love redefining success, and love turning the complexity of a chaotic world into the simplicity of a beautiful solution. About the role Compliance is a key team that ensures Revolut’s products and processes meet the regulatory requirements and translate this into the best customer outcomes. They’ve got outstanding ability to find solutions and carry out testing in a purely digital environment. Those data-driven experts know that better people and machines are the most effective way of managing conduct risk \uD83C\uDFAF We’re looking for a Senior Compliance Manager responsible for compliance for our US Broker Dealer and Investment Advisor platforms \uD83D\uDCE3 We’re looking for someone who will be responsible for advising our business on compliance requirements and related controls. Be warned, this is a very hands-on role \uD83E\uDD3E‍♂️ Up for the challenge? Let’s get in touch \uD83D\uDC47 What you’ll be doing • Providing advice on SEC, FINRA, State, and SRO organization rules and regulations to ensure firm policies and procedures comply with regulatory requirements • Leading annual requirements for both the Broker Dealer and the Investment Advisor • Working with the broker-dealer Operations and Trading teams to ensure regulatory compliance with applicable rules and regulations with oversight for day to day monitoring for both businesses • Leading Best Execution quarterly meetings • Memorializing operational procedures developed by the CCOs that support the WSPs • Leading general projects to strengthen or append the compliance program • Assisting CCO response to queries and exams initiated by the regulators • Leading review for marketing and advertising for compliance with FINRA and SEC rules • Assisting Chief Compliance Officer in developing mature audit/controls processes across platforms in determining how it will be tested, document deficiencies, and developing plans to resolve deficiencies • Analyzing new regulatory changes as they related to the Broker Dealer and Investment Advisor • Managing of FINRA Gateway • Identifying and recommending necessary changes to address compliance gaps or improve adherence to regulatory requirements What you'll need • 5 + years of experience working for a broker-dealer and an investment advisor as a true generalist with experience in supervision, licensing and ops • Experience with Atlassian JIRA and Confluence • AML familiarity of the laws applicable to money laundering, terrorist financing, and other applicable financial/securities related crimes (e.g., insider trading, market manipulation) • Extensive knowledge of the US broker-dealer and Advisory regulatory environment • Must be familiar with the FINRA CRD System and Gateway • Excellent analytical and organizational skills with strong attention to detail • To meet deadlines in a fast-paced environment • To be comfortable with a degree of ambiguity, requiring analysis and action • Demonstrated ability to review and analyze complex situations and apply judgement to resolve issues in a timely and effective manner with minimal supervision • Active Series 7, 24 and 63 or 66 Compensation range • US: $157,500 - $215,000 gross annually* • Other locations: Compensation will be discussed during the interview process *Final compensation will be determined based on the candidate's qualifications, skills, and previous experience Building a global financial super app isn’t enough. Our Revoluters are a priority, and that’s why in 2021 we launched our inaugural D&I Framework, designed to help us thrive and grow everyday. We're not just doing this because it's the right thing to do. We’re doing it because we know that seeking out diverse talent and creating an inclusive workplace is the way to create exceptional, innovative products and services for our customers. That’s why we encourage applications from people with diverse backgrounds and experiences to join this multicultural, hard-working team. By applying for the above position, you will confirm that you have reviewed and agreed to our Data Privacy Notice for Candidates . #LI-Remote #LI-AN1 Apply for this job

About Revolut

Revolut is a digital banking alternative for instant payment notifications: free international money transfers and global fee-free spending.

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