Interested in leaving behind the corporate culture and joining a seasoned Startup team, utilizing your expertise as Head of Compliance to navigate the unchartered territory of disrupting a massive segment in the Fintech space? To improve your odds of learning what the founders are seeking, schedule a time here: https://calendly.com/jake-villarreal/calendar
Prepare our compliance requirements and build a world class compliance framework for the product we are brining to the financial markets. That includes: information security, data privacy, SEC rules, FINRA rules, internal controls, policies and procedures, SOC 1, GDPR, etc.
As Head of Compliance, you may be an attorney or compliance professional who has in-depth knowledge of securities regulation, data privacy and security, and risk management. And has an entrepreneurial mind to help create a new category of regulatory and financial technology. If you've always wanted a greenfield opportunity to be innovative in a tightly regulated industry you've found it:)
The most qualified candidates will have deep practical knowledge of applicable law and regulation and an extensive record of productive interaction with relevant regulators and industry participants.
- 10+ years of experience as a compliance Professional for a broker-dealer
- Technical compliance expertise with getting new technologies approved for the use by Broker Dealers
- Expert knowledge of FINRA
- Expert knowledge of SEC Rules
- Expert knowledge of SOC 1, internal controls
- Deep knowledge of Data Security, Data Privacy and Cyber Security
- Knowledgable and up-to-date on GDPR
- Have had a title as Head of Compliance or similar role
- Ability to collaborate effectively with founders, financial institutions and cross departmental employees.