Toss Securities US LLC · 6 hours ago
Compliance Manager
New York, NY
Full-time
Onsite
Senior Level
$150K/yr - $175K/yr
5+ years expToss Securities US LLC is a rapidly growing brokerage firm expanding its U.S. operations. The Compliance Manager will support the Chief Compliance Officer in establishing and managing a comprehensive compliance program aligned with FINRA and SEC regulations.
Financial Services
Responsibilities
Support the CCO in establishing and operating a comprehensive broker-dealer compliance program, with ownership of day-to-day implementation aligned with FINRA, SEC, and applicable state rules
Draft, maintain, and implement Written Supervisory Procedures (WSPs), Compliance Manual, and related program documents
Own day to day compliance operations, including intake, tracking, and resolution of compliance items
Oversee and manage TSUS’s continuing education program, including planning, tracking, and regulatory reporting requirements
Plan and execute annual compliance meetings and certifications, including FINRA Rule 3130 reports management for annual CEO certification
Coordinate the management of the firm’s BCP with the Chief Compliance Officer
Coordinate and support with required regulatory filings and reporting (e.g., FINRA Gateway tasks, annual compliance report support, AML documentation, etc.)
Prepare for and oversee regulatory exams, audits, and inquiries; organize production materials and coordinate responses under CCO direction
Track, manage, and drive remediation of exam findings to closure
Conduct ongoing surveillance of trading, communications, marketing, and operational activities; escalate red flags with clear recommendations
Perform periodic testing of supervisory controls and compliance processes; document findings, remediation plans, and follow-through
Maintain logs and evidence for supervisory reviews and compliance attestations
Manage third party vendor oversight, ongoing monitoring, vendor risk management, and due diligence
Support implementation and operation of the AML program, including CIP/KYC monitoring, OFAC checks, SAR escalation workflows (as applicable), and annual AML testing coordination
Review and assess escalations tied to customer due diligence, suspicious activity, or sanctions screening
Qualification
Required
5-10 years of experience in brokerage and trading
Bachelor's degree in a related field, or equivalent experience and training
FINRA Series 7 license required
Company
Toss Securities US LLC
11-50 employeesFunding
Current Stage
Early StageCompany data provided by crunchbase