Compliance Officer, Dub

• 3+ years of broker-dealer compliance experience, ideally with advisory compliance exposure
• Deep understanding of FINRA, SEC, and other relevant regulations, including the Advisors Act
• Strong knowledge of FINRA Rules, the Advisors Act, and SEC disclosure requirements
• Proficiency in Microsoft Office Suite (Word, Excel, PowerPoint)
• Bachelor’s Degree (or equivalent relevant experience)

Desirable

• This role is essential to dub’s mission to transform our platform from a standout investing app into a billion-user fintech platform
• You’ll work closely with dub's CCO and senior leadership to ensure compliance, broker-dealer administration, and advisory oversight within a regulatory framework
• You’ll play a key role in managing regulatory and operational tasks related to both broker-dealer and advisory operations, due diligence for investment advisors and creators, and internal compliance processes
• This role is a blend of compliance and advisory functions, ideal for a candidate with a background in both broker-dealer operations and the Advisors Act
• You’ll bring expertise in regulatory standards, disclosures, and policy implementation, and help shape a unique investing experience for customers
• You’re focused, results-driven, and skilled at guiding teams toward ambitious goals with both soft and firm influence
• Broker-Dealer Administration: Support the CCO in managing the administration of the broker-dealer program, AML and CIP requirements, and overseeing registration of personnel
• Advisory Compliance: Lead advisory-related compliance efforts, including:
• Developing and executing 206(4)-7 testing programs
• Conducting due diligence on prospective investment advisors and platform creators
• Managing disclosure and regulatory filing requirements, including Forms ADV Part 1 and 2A
• Reviewing marketing and communication materials to ensure regulatory compliance
• Supervising personnel in line with the firm's Code of Ethics
• Policies and Procedures: Maintain and update policies and procedures, ensuring adherence to SEC and FINRA requirements, the Advisors Act, and firm-specific compliance standards
• Client Service Support: Address client requests and assist with onboarding and ongoing account servicing
• Operational Compliance: Coordinate with the CCO to build and manage internal compliance dashboards for account servicing, books and records, and corporate actions
• Marketing and Communication Compliance: Review marketing materials and communications for compliance with regulatory standards
• Audits and Regulatory Inquiries: Prepare for audits, exams, and inquiries, supporting document and data retrieval
• Special Projects: Handle ad hoc projects and requests as needed to support the compliance team