Assistant Vice President of Compliance, Templum
$75-100k
Blockchain securities and trading platform
Job no longer available
Blockchain securities and trading platform
21-100 employees
Job no longer available
$75-100k
21-100 employees
Company mission
To create a new strategic alternative in the private markets.
Role
Who you are
- 3-5+ years of experience in investment management/AML compliance/market regulation, preferably at a self-regulatory organization, federal regulator, or large broker or other financial institution with an international customer base
- Experience in Primary or Secondary Private Securities offerings a plus
- Experience in Alternative Assets a plus
- Ability to develop compliance solutions that satisfy relevant regulations while executing sound business judgment
- Ability to work in a small-team environment, work independently, and multi-task with minimal supervision
- High degree of comfort with technology and a functional understanding of how technology can be applied to business and regulatory solutions
- High degree of communication, analytical, and project management skills
- Willingness and ability to obtain financial registration exams promptly
- Series 7 and 63 are required; Series 24 is an additional preference
What the job involves
- Monitor and perform communications reviews
- Engage senior management across corporate compliance, operations, and information technology to manage, report on, and improve investigative work
- Fluent in the KYC/AML processes for customer onboarding. Experience with Due Diligence and Enhanced Due Diligence rules a plus
- Evaluate internal product enhancements and the impact on policies and procedures as well assisting in the maintenance of Firm policies and procedures/WSPs
- Able to handle registrations and licensing of registered representatives via WebCRD
- Evaluate risk associated with AML and broker-dealer processes and recommend enhancements, where appropriate
- When needed, support and participate in internal, external, and regulatory audits and examinations
Our take
Over the past few decades there has been a shift in trading patterns. While previously most trading was done in publicly-listed stock, this has now changed and private companies now outnumber listed ones by about 7 to 1. However the infrastructure that exists for public trading doesn't yet exist for private investing, leading to information asymmetries and inefficiencies in the market. This is the problem that Templum was founded to solve, aiming to provide a transparent and secure trading infrastructure for private markets.
Templum provides a white label solution for investment firms which removes much of the manual work of trading in private and alternative markets while its platform takes care of issuance, trading and analytics. It is approved to trade unregistered private securities across the United States and has partnered with a number of firms such as Dalmore Group, Entoro and Guardd Inc to provide access to numerous market sectors for its customers.
Having received investment funding in several rounds since its founding, Templum is continuing to develop strategic partnerships such as its recent tie-up with Netcapital. It is aiming to further develop its platform and expand its market share as the trade in privately-listed company assets continues to grow.
Freddie
Company Specialist at Welcome to the Jungle
Insights
31% employee growth in 12 months
Company
Company benefits
- We pay 75% of the monthly premiums for comprehensive, national medical, dental, vision and ancillary benefits through United Healthcare/Oxford, and their partner networks in California and Massachusetts
- Unlimited PTO & Holidays
- Competitive 401K match and offer an advisory service to help you grow your money for retirement
- Tax-free savings plans (FSA, Transit, and HSA plans)
Company HQ
West Village, New York, NY
Leadership
Christopher Pallotta
(CEO)Also Managing Director at Raptor Capital Management. Previously a Selection Committee Member for the E14 Fun and Directors Associate at MIT Media Lab.
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