Compliance Officer

Rapidtrade; New York, Northern (NY, KY); Hybrid; USD 130,000 - 180,000; Full time

Job summary

Rapidtrade in New York, NY is seeking a Compliance Officer to help build and scale the regulatory program. You will work with leadership and external counsel to ensure adherence to SEC, FINRA and state rules, and lead policy development, training and audits.

You will monitor developments, assess impact on products and MSB licensing, and manage regulatory relationships as the company expands. A strong analytical mindset and experience in financial services are required.

Qualifications

• 5+ years of compliance experience in financial services.
• Deep knowledge of SEC, FINRA, and state regulations.
• Experience with MSB licensing and AML/KYC requirements.
• Strong analytical and problem-solving skills.

Responsibilities

• Develop and implement compliance policies and procedures
• Monitor regulatory developments and assess their impact
• Conduct compliance training for employees
• Manage relationships with regulators and external auditors
• Perform compliance risk assessments and audits
• Review new products and features for regulatory compliance

Skills

Financial services compliance

Regulatory knowledge

Analytical skills

Regulatory monitoring

Job description

Legal & Compliance New York, NY Full-time $130,000 - $180,000

About the Role

We're looking for a Compliance Officer to help ensure Rapidtrade meets all regulatory requirements. You'll work with leadership and external counsel to build and maintain our compliance program as we scale.

What You'll Do

• Develop and implement compliance policies and procedures
• Monitor regulatory developments and assess their impact
• Conduct compliance training for employees
• Manage relationships with regulators and external auditors
• Perform compliance risk assessments and audits
• Review new products and features for regulatory compliance

What We're Looking For

• 5+ years of compliance experience in financial services
• Deep knowledge of SEC, FINRA, and state regulations
• Experience with MSB licensing and AML/KYC requirements
• Strong analytical and problem-solving skills

Nice to Have

• Experience with cryptocurrency regulations
• Background in broker-dealer or RIA compliance
• Experience building compliance programs from scratch
• Knowledge of international regulatory frameworks

Don't see a perfect fit? We're always looking for talented people.