Compliance Manager - Invest - (Remote - US)

Jobgether; United States; Remote; USD 90,000 - 130,000; Full time

Job summary

A fast-growing financial technology company is seeking a Compliance Manager - Invest to lead compliance operations. The ideal candidate will develop regulatory frameworks, manage audits, and ensure compliance across various financial products. This remote position offers competitive salary, equity options, and health benefits from Day 1, along with opportunities for career growth.

Benefits

Competitive salary with equity options

Health benefits starting on Day 1

401(k) with company match

Flexible Time Off (FTO) policy

Opportunities for career growth and development

Qualifications

• 5-7 years of compliance experience in broker-dealer or financial services.
• Active FINRA Series 7 and 24 licenses.
• Deep knowledge of FINRA and SEC regulations.

Responsibilities

• Develop and maintain compliance policies aligned with regulatory standards.
• Lead engagement with regulatory bodies and oversee audits.
• Conduct risk assessments and internal audits.

Skills

Leadership

Communication

Stakeholder Management

Risk Management

Education

Bachelor's degree in finance, business, law, or a related field

Job description

Compliance Manager - Invest - (Remote - US)

Be among the first 25 applicants three weeks ago.

About Jobgether
Jobgether is a Talent Matching Platform that partners with companies worldwide to efficiently connect top talent with the right opportunities through AI-driven job matching.

We are currently seeking a Compliance Manager - Invest in the United States. This role offers an opportunity to lead compliance operations for a fast-growing financial technology company. The Compliance Manager will play a key role in developing, implementing, and managing regulatory frameworks across various consumer financial products. The ideal candidate has hands-on experience working with FINRA, SEC, and other regulatory agencies, and possesses strong leadership skills in audits, training, and policy development. This position is suited for a strategic thinker with a startup mindset, combining regulatory oversight with innovation in a mission-driven environment.

Accountabilities:

1. Develop, implement, and maintain compliance policies aligned with regulatory standards and company operations.
2. Lead engagement with regulatory bodies, overseeing audits, examinations, and filings.
3. Conduct risk assessments, internal audits, trade surveillance, and supervisory reviews to monitor compliance risks.
4. Collaborate with legal, operations, and business units to ensure regulatory compliance.
5. Provide compliance training and education to employees at all levels.
6. Generate compliance reports for senior management and document compliance activities thoroughly.

Requirements:

• Bachelor's degree in finance, business, law, or a related field.
• 5-7 years of compliance experience in broker-dealer or financial services.
• Active FINRA Series 7 and 24 licenses.
• Deep knowledge of FINRA and SEC regulations and supervisory requirements.
• Proven experience managing compliance programs, regulatory interactions, and internal controls.
• Excellent communication and stakeholder management skills.
• Preferred: experience in startup environments and familiarity with risk management protocols.

Benefits:

• Competitive salary with equity options.
• Health benefits starting on Day 1.
• 401(k) with company match.
• Remote-friendly culture across the U.S.
• Flexible Time Off (FTO) policy.
• Opportunities for career growth and development.

Additional Information:

This job is posted on behalf of a partner company. Applications undergo an AI-powered 3-step screening process to select the top 5 candidates, based on CV and LinkedIn profile analysis. Top candidates will be notified within 7 days. If not selected, your profile may be considered for other opportunities. Thank you for your interest!