Compliance Manager
FT Partners is an investment banking firm focused exclusively on financial technology.
About FT Partners
Financial Technology Partners, also known as FT Partners, is a global investment banking firm focused exclusively on the FinTech sector. The firm provides strategic advisory services such as mergers, acquisitions, divestitures, fairness opinions, and anti-raid advisory, as well as financial advisory services including private capital raising, private equity, restructuring and LBOs, IPO advisory, and valuations. FT Partners also operates a FinTech equity research and strategic insights platform, publishing market reports, transaction analysis, and research for institutional investors and industry executives. Its clients include early-stage startups, high-growth private companies, public companies, financial institutions, investors, CEOs, and boards of directors across the financial technology ecosystem.
Skills
Candidate Availability
Required and preferred rules are kept separate and reflect the wording in the original posting.
About the Role
You will oversee and execute FINRA, SEC, FCA, and related regulatory compliance. You will monitor employee and business compliance matters, advise management on regulatory developments, maintain policies and procedures, conduct compliance testing, and deliver training.
Requirements
- 4+ years of FINRA and SEC compliance experience
- FINRA Series 7 and Series 24 preferred or ability to obtain them promptly
- Knowledge of FINRA regulations and broker-dealer requirements
- Knowledge of federal, state, and SEC regulatory requirements for investment banking
- Experience with FINRA Gateway, U4s, U5s, Form BD, CMA, and regulatory inquiries
- Experience writing policies, procedures, and Written Supervisory Procedures
- Experience with KYC, AML, CIP, sanctions, personal investments, outside business activities, electronic communications surveillance, books and records, compliance testing, and FINRA 3130 certification
- Four-year college degree
- US work authorization
Responsibilities
- Oversee and execute FINRA, SEC, FCA, and related regulatory compliance
- Monitor employee and business compliance matters
- Advise management on regulatory developments and strategic decisions
- Design and tailor the compliance program
- Maintain compliance policies and Written Supervisory Procedures
- Execute KYC, AML, and CIP checks
- Oversee sanctions requirements, personal investments, outside business activities, electronic communications surveillance, and books and records
- Conduct regular compliance testing and FINRA 3130 certification
- Deliver regulatory training