Percent · 5 hours ago
Compliance Manager
New York, NY
Full-time
Hybrid
Mid, Senior Level
$125K/yr - $150K/yr
5+ years expPercent is a FinTech company that is unlocking private credit through its digital platform. They are seeking a Compliance Manager to enhance their Broker Dealer compliance program, focusing on regulatory matters and ensuring adherence to SEC and FINRA requirements.
Financial Services
Responsibilities
Assist in all aspects of the Broker Dealer compliance framework, including drafting written policies and procedures, testing, reporting, record retention, and employee training
Assist in preparation of regulatory filings including Regulation D Offerings
Review of new product marketing materials consistent with SEC and FINRA guidelines
Review Firm communications both internal and external
Monitor and maintain employee compliance with internal policies and procedures
Partner with the Chief Compliance Officer in setting key compliance initiatives, executing on all aspects of the compliance program
Assist in the continuing membership application (CMA) process for expansion of BD’s services including ATS
Monitor industry trends in the area of regulatory compliance, including regulatory developments in federal and state law, and in non-U.S. jurisdictions
Assist the Chief Compliance Officer with routine examinations and any communications with regulators
Qualification
Required
At least 5 years of experience, preferably with broker dealer experience
Knowledge of FINRA Rules and Regulations
Series 7 and 24 license or willingness to obtain them shortly after joining
Experience with alternative investments and understanding of private placements pursuant to Reg. D
High level of integrity
Thorough understanding of applicable laws and regulations and a willingness to learn new topics and work in an evolving business environment
Excellent written and verbal communication skills and an attention to detail
Ability to work both independently and collaborate with others
Preferred
Prior FinTech experience is desirable
Prior experience with Alternative Trading Systems (ATS)
Prior experience with Service Organization Controls (SOC) Compliance
Benefits
Competitive base salary, bonus incentive structure and equity compensation
Hybrid work environment in NYC
Commuter stipend
Paid vacation days
100% paid medical coverage for employee/family
Dental & vision insurance
401(k)
Company
Percent
Percent is unlocking private credit and providing unparalleled access through its modern private credit market, empowering investors, borrowers, and underwriters with innovative technology to increase the speed and frequency of transactions at a fraction of the cost.
51-200 employees
H1B Sponsorship
Percent has a track record of offering H1B sponsorships. Please note that this does not
guarantee sponsorship for this specific role. Below presents additional info for your
reference. (Data Powered by US Department of Labor)
Distribution of Different Job Fields Receiving Sponsorship
Represents job field similar to this job
Trends of Total Sponsorships
2024 (1)
2023 (1)
2022 (5)
2021 (2)
2020 (3)
Funding
Current Stage
Growth StageLeadership Team
Nelson Chu
Founder and CEO
Prath Reddy, CFA
CEO of Percent Securities, LLC
Company data provided by crunchbase