Events  Classes  Jobs 
    Sign in  
Brex // corporate card for startups
New York City, United States    Posted: Saturday, January 04, 2020
Apply To Job

Brex is revolutionizing financial services for businesses, starting with corporate cards for startups. We are building the product from first principles, enabling us to have unparalleled features & a seamless, modern experience for our customers. With backing from top venture firms & industry veterans such as Peter Thiel & Max Levchin, Brex is one of the fastest-growing startups to date, & were looking for someone to help scale the company with incredible people across the board.

Based in San Francisco, our team is committed to creating a driven & diverse company with ambitious people from wide-ranging backgrounds. We are looking for people with a strong sense for exceptional products, a keen eye to detail, & comfort learning new technologies. Most importantly, were looking for people who are enthusiastic about working with a variety of backgrounds, roles, & needs.

The Legal & Compliance team makes critical decisions that impact both product development & company direction. Judgment, competence, empathy, ability to collaborate within & across functions, & a good sense of humor are essential to success on our team. Working in a fast-growing FinTech startup also demands that we are problem solvers & comfortable operating in a rapidly-changing environment. As the Senior Compliance Officer for Brex Cash you will manage the broker/dealers compliance infrastructure in New York City, providing guidance & oversight. The office will be an Office of Supervisory Jurisdiction, & you will responsible for its adherence to overall compliance program. while assisting Brex Treasurys CCO in keeping the firm in compliance.

What you'll be doing:

  • Develop, implement, & maintain the broker-dealers compliance program, including policies, procedures, systems monitoring, technology & training.
  • Manage a staff of experienced compliance personnel & work closely with Brexs Chief Compliance Officer & Legal Department.
  • Provide appropriate support, advice & training to relevant front-office & operational personnel with respect to FINRA & SEC rules & regulations, information barriers, licensing requirements, supervision, & other compliance-related issues.
  • Manage internal & external regulatory examinations, audits, inquiries, & similar reviews in relation to the broker-dealers business activities.
  • Ability to identify current & emerging regulatory risks, implement risk mitigation plans, & provide reports to the Global CCO & senior management.
  • Work with the CCO & internal & external legal counsel to adapt to regulatory developments or address the compliance implications of new business products & services.
  • Review, interpret, & assess regulatory impact related to proposed SEC & SRO rules & regulations.
  • Develop & execute appropriate testing programs to verify compliance with relevant rules.
  • Investigate, develop, & implement appropriate action plans in response to regulatory, testing, or audit findings.
  • Review & approve marketing materials & other public communications.

What we're looking for in you:

  • 8+ years compliance experience in a compliance department of a registered broker-dealer
  • Extensive knowledge of the Securities Act of 1933, & SEC & FINRA rules
  • Excellent written & verbal communication skills & interpersonal skills to work effectively with internal & external stakeholders
  • Detail-oriented\, accurate, organized & able to set priorities
  • Ability to multi-task & adapt to shifting priorities
  • Series 63, 7, 24 (required)
Apply To Job
© 2020 GarysGuide      Terms