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)