Compliance Manager - Invest - (Remote - US)

Jobgether; United States; Remote; USD 100,000 - 150,000; Full time

Job summary

A leading financial technology company is seeking a Compliance Manager to oversee compliance operations. This role involves developing policies, managing regulatory interactions, and conducting audits. Ideal candidates will have significant experience in compliance, strong leadership skills, and a strategic mindset, with opportunities for career growth in a remote-friendly environment.

Benefits

Competitive base salary with equity options

Health benefits starting on Day 1

401(k) with company match

Remote-friendly work culture

Flexible Time Off (FTO) policy

Clear pathways for career growth and development

Qualifications

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

Responsibilities

• Develop, implement, and maintain compliance policies aligned with regulatory standards.
• Lead engagement with regulatory bodies, overseeing audits and examinations.
• Conduct risk assessments and internal audits.

Skills

Leadership

Communication

Stakeholder Management

Education

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

Job description

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.

One of our companies is currently looking for a Compliance Manager - Invest in the United States.

This role offers an opportunity to lead and strengthen compliance operations for a fast-growing financial technology company. As Compliance Manager, you will play a pivotal role in shaping, implementing, and managing regulatory and supervisory frameworks across a diverse suite of consumer financial products. This position requires hands-on expertise in working with FINRA, SEC, and other regulatory agencies, as well as strong leadership in driving internal audits, training, and policy development. Ideal for a strategic thinker with a startup mindset, this role combines regulatory oversight with innovation in a highly mission-driven environment.

Accountabilities:

• Develop, implement, and maintain compliance policies aligned with regulatory standards and the firm’s operations.
• Lead the firm’s engagement with regulatory bodies, including overseeing audits, examinations, and timely filings.
• Conduct risk assessments, internal audits, trade surveillance, and supervisory reviews to monitor and mitigate compliance risks.
• Collaborate with internal stakeholders across legal, operations, and business units to ensure regulatory alignment.
• Deliver compliance training and education programs to employees at all levels.
• Generate compliance reports for senior leadership and maintain thorough documentation of compliance activities.

• Bachelor’s degree in finance, business, law, or a related field.
• 5–7 years of experience in compliance within a broker-dealer or financial services setting.
• Active FINRA Series 7 and 24 licenses.
• Deep knowledge of FINRA and SEC regulations and supervisory requirements.
• Proven track record of 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.

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

Jobgether hiring process disclaimer

This job is posted on behalf of one of our partner companies. If you choose to apply, your application will go through our AI-powered 3-step screening process, where we automatically select the 5 best candidates.

Our AI thoroughly analyzes every line of your CV and LinkedIn profile to assess your fit for the role, evaluating each experience in detail. When needed, our team may also conduct a manual review to ensure only the most relevant candidates are considered.

Our process is fair, unbiased, and based solely on qualifications and relevance to the job. Only the best-matching candidates will be selected for the next round.

If you are among the top 5 candidates, you will be notified within 7 days.
If you do not receive feedback after 7 days, it means you were not selected. However, if you wish, we may consider your profile for other similar opportunities that better match your experience.

Thank you for your interest!

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