Compliance Manager, ONE
Invest
$140-160k
+ Generous stock option packages
Ethical personal finance platform
Be an early applicant
Ethical personal finance platform
501-1000 employees
Be an early applicant
$140-160k
+ Generous stock option packages
501-1000 employees
Company mission
To help people live healthier financial lives.
Role
Who you are
- The ideal candidate will be a generalist with the expertise to oversee supervisory functions, collaborate with regulators and internal stakeholders, and help ensure the firm operates in compliance with all applicable FINRA, SEC, and other regulatory requirements
- Bachelor’s degree in finance, business, law, or a related field
- Minimum of 5-7 years of compliance experience in a broker-dealer or financial services environment
- FINRA Series 7, 24, or 27 licenses (or willingness to obtain within a specified timeframe)
- Strong knowledge of FINRA and SEC rules and regulations
- Demonstrated ability to build and manage compliance policies, procedures, and programs
- Excellent communication skills, with the ability to interact effectively with regulators and internal stakeholders
- Strategic thinker with a detail-oriented approach
- Self-starter with strong organizational and multitasking abilities
- Collaborative mindset with strong interpersonal skills
Desirable
- Experience with risk management and supervisory processes
- Proven ability to work in a fast-paced, startup environment
What the job involves
- We are seeking a proactive and experienced Compliance Manager to join our growing team at a new FINRA-registered broker-dealer
- This is a dynamic role requiring a hands-on professional with the ability to develop, implement, and manage compliance programs, policies, and procedures
- Design, implement, and update compliance policies and procedures to ensure alignment with regulatory requirements
- Maintain an effective compliance program tailored to the firm's size, scope, and activities
- Serve as a point of contact for FINRA, SEC, and other regulatory bodies
- Prepare for and manage regulatory examinations, audits, and inquiries
- Maintain up-to-date knowledge of applicable laws, rules, and regulations and advise senior management of key developments
- Perform and oversee supervisory reviews, including trade surveillance, electronic communications monitoring, and other supervisory functions
- Identify potential compliance risks and develop strategies to mitigate them
- Conduct internal audits and compliance testing to assess the firm’s adherence to policies and regulations
- Develop and deliver compliance training programs to staff at all levels
- Partner with internal stakeholders, including legal, operations, and business units, to provide compliance guidance and ensure effective communication
- Advise senior management on compliance issues and participate in strategic decision-making
- Maintain accurate records of compliance activities, including policies, supervisory procedures, and audit findings
- Prepare compliance reports for senior management and the board of directors
- File regulatory reports and disclosures in a timely and accurate manner
Our take
Banks have a poor image and are often perceived to not care about their customers. ONE Finance has the financial well-being of its clients at the heart of what it does. Offering equal access to high-yield savings rates and affordable credit that grows. Its signature feature is the ability to organize money in multiple sub-accounts that ONE calls “Pockets,” whether to pay specific bills or save toward goals. You can also set up shared “Pockets” with partners or friends for joint saving objectives.
ONE is part of a new wave of digital banking apps that have the potential to disrupt traditional legacy systems, driven by European firms such as Triodos in the Netherlands. ONE Finance is clear that it doesn’t use deposits for anything that exploits the Earth's resources or is involved in the arms trade, setting it apart from other recent endeavours from Monzo and Revolut who aren’t so forthcoming about where its funds are invested.
In 2022, ONE was acquired by Hazel, a FinTech company which was launched by Walmart and Ribbit Capital and which also acquired Even Responsible Finance at the same time. The companies have merged under the ONE brand, combining workforces, products and operating budgets, and will benefit from Walmart's support and marketing reach.
Freddie
Company Specialist at Welcome to the Jungle
Insights
Few candidates hear
back within 2 weeks
68% employee growth in 12 months
Company
Funding (last 2 of 3 rounds)
Aug 2021
$40m
SERIES B
Mar 2020
$17m
SERIES A
Total funding: $66m
Company benefits
- Benefits effective on day one
- Early access to a high potential, high growth fintech
- Generous stock option packages in an early-stage startup
- Remote friendly (anywhere in the US) and office friendly - you pick the schedule
- Flexible time off programs - vacation, sick, paid parental leave, and paid caregiver leave
- 401(k) plan with match
Company HQ
Civic Center, New York, NY
Articles
Leadership
Brian Hamilton
(Chief Commercial Officer)Started their career at Wells Fargo Foreign Exchange before leaving after almost 8 years to join Clear2Pay in 2006. They founded Isomer Labs, PushPoint, and Azlo before starting One as CEO in February 2019.
Share this job
View 22 more jobs at ONE