Compliance Associate, Public.com
$85-125k
4 days a week in office
Stocks, ETFs & crypto investing app
Job no longer available
Stocks, ETFs & crypto investing app
101-200 employees
Job no longer available
$85-125k
4 days a week in office
101-200 employees
Company mission
To make the public markets work for all people.
Role
Who you are
- If you're passionate about compliance, enjoy working closely with others, and love making improvements, this role is a great fit for you!
- Most importantly, a passion for compliance with a desire to challenge yourself and expand your knowledge in the capital markets
- Broad-based knowledge of financial products and services
- Strong problem-solving skills and a keen eye for identifying process improvements
- Excellent organizational skills and the ability to manage workflows efficiently
- Experience in regulatory compliance surveillance, oversight, or assurance programs
- Natural strong work ethic and ability to remain motivated in an independent work environment
- Exceptional communication skills, high EQ, and the ability to manage multiple projects across stakeholders
- Necessary: FINRA SIE, Series 7 and 63 licenses; FINRA Series 24 licensure strongly preferred or required within 60 days of hire
- Bonus: FINRA Series 4, 53, and/or 86/87 licensure; experience in data driven analysis using visualization tools such as Looker, Tableau, etc
What the job involves
- As a Compliance Associate, you'll be an essential part of ensuring our compliance program runs smoothly and effectively
- You’ll work closely with teams across the firm, including brokerage, marketing, legal, and customer service, helping everyone stay aligned with industry regulations while fostering collaboration and clear communication
- This role is perfect for someone who enjoys working across departments and is excited about building relationships to support a culture of compliance
- Beyond day-to-day tasks, you’ll focus on improving processes, handling trade surveillance, and assisting with regulatory audits
- You’ll also play a key role in ensuring everything runs smoothly while helping the team stay proactive and efficient in achieving our goals
- Collaborate across departments: Work with brokerage, marketing, legal, and customer service teams to ensure the compliance program is effectively executed across all functional areas
- Drive process improvement: Identify areas for operational efficiency and implement improvements across the compliance workflow
- Assist with regulatory audits: Assist in document retrieval and preparation for regulatory exams, and ensure adherence to FINRA rules and firm policies
- Monitor compliance practices: Perform ongoing reviews of firm policies, surveillance, and trade monitoring to maintain compliance with FINRA regulations
- Support marketing/advertisement reviews: Collaborate with the compliance specialist and marketing team to assist with principal review on firm marketing and advertisements
- Conduct trade surveillance: Monitor for irregularities and ensure proper reporting procedures are followed
- Manage daily operations: Oversee day-to-day compliance operations to meet service level goals, maintain compliance records, and collaborate with the team to address any emerging issues
Our take
The stock market can be a confusing place unless you work on Wall Street, making investing a pretty daunting experience. Public.com brings accessibility to the stock market, helping people invest regardless of experience or available funds.
This is done through a commission-free platform that allows users to own fractional shares of stocks, funds, and crypto, making it easier to get started. It has created a safe space for a broad audience, with educational and social features that help users become more familiar with investing.
The concept of making investments more accessible is not unique to Public.com, but a key draw that it has over the competition is its focus on creating a social community. It has also been quick to innovate, such as with the launch of AI-powered investment research tool Alpha. And it continues to raise funding to support product development and solidify its place in the industry.
Kirsty
Company Specialist at Welcome to the Jungle
Insights
43% employee growth in 12 months
Company
Funding (last 2 of 7 rounds)
Dec 2024
$105m
SERIES D
Feb 2021
$220m
SERIES D
Total funding: $414.5m
Company benefits
- Fully paid healthcare
- 401(k) matching
- Paid time off
- Paid parental leave
- Flexible spending account
- Citi Bike membership
- Reproductive care
- In-office meals
Company HQ
Financial District, New York, NY
Leadership
Jannick Malling
(Co-Founder & Co-CEO)Previous Head of Product in the founding team at CFH Group, and co-founder of Tradable.
Leif Abraham
(Co-Founder & Co-CEO)Previously co-founded and was CEO at AND.CO. Also co-founded Pay with a Tweet, and has worked as Director of Product Experience at West.
Matt Kennedy
(Co-Founder & Brokerage)Former COO of the company. Previously a Trading Associate at Dominick & Dominick.
Sean Hendelman
(Co-Founder & Board Member)CEO of the Active and Professional Division at Clear Street, as well as Founder and CEO at T3 Companies.
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