Overview

We’re seeking an enthusiastic and talented Compliance professional to join our team. We are growing exponentially, and you would be a pivotal contributor to this growth, with the opportunity to lead and define your role.

Primary Responsibilities

  • Monitor and perform communications reviews.
  • Engage senior management across corporate compliance, operations, and information technology to manage, report on, and improve investigative work.
  • Fluent in the KYC/AML processes for customer onboarding. Experience with Due Diligence and Enhanced Due Diligence rules a plus.
  • Evaluate internal product enhancements and the impact on policies and procedures as well assisting in the maintenance of Firm policies and procedures/WSPs.
  • Able to handle registrations and licensing of registered representatives via WebCRD.
  • Evaluate risk associated with AML and broker-dealer processes and recommend enhancements, where appropriate.
  • When needed, support and participate in internal, external, and regulatory audits and examinations.

Preferred Qualifications

  • 2-5+ years of experience in investment management/AML compliance/market regulation, preferably at a self-regulatory organization, federal regulator, or large broker or other financial institution with an international customer base.
  • Experience in Primary or Secondary Private Securities offerings a plus.
  • Experience in Alternative Assets a plus.
  • Ability to develop compliance solutions that satisfy relevant regulations while executing sound business judgment.
  • Ability to work in a small-team environment, work independently, and multi-task with minimal supervision.
  • High degree of comfort with technology and a functional understanding of how technology can be applied to business and regulatory solutions.
  • High degree of communication, analytical, and project management skills.
  • Willingness and ability to obtain financial registration exams promptly.
  • Series 7 and 63 required, Series 7, 63, and 24 is preferred.

Expected annual base salary for this role is between $60,000 and $75,000 at the commencement of employment. However, base salary, if hired, will be determined on an individualized basis and constitutes only one part of the total rewards and compensation package, which will include a 4% 401K match and health benefits subsidized at 75% by Templum. Depending on the position, total compensation may also include options, commission earnings, incentive compensation, and/or discretionary bonuses. Please note that ancillary benefits are subject to change at any time in the sole discretion of Templum.