Compliance Manager

• 4+ years of FINRA and SEC compliance experience preferably in Investment Banking or Private Equity
• FINRA Series 7 and Series 24 strongly preferred; or must able to obtain within a short period
• Good knowledge of FINRA regulations and applicable regulatory requirements and expectations related to investment banking and broker-dealer activities
• Working knowledge of federal and state laws and regulations applicable to investment banking including a general knowledge of SEC regulatory requirements and framework
• Ability to articulate regulatory requirements to all levels of employees, from new analysts to the head of the firm
• Experience with FINRA Gateway including U4s & U5s, Form BD, CMA, as well as handling ad hoc regulatory inquiries
• Experience writing and maintain firm policies and procedures including Written Supervisory Procedures
• Understanding and experience executing KYC/AML/CIP checks, complying with sanctions and Treasury requirements, oversight of employee personal investments and OBAs,  e-comms surveillance and management, books and records requirements, regular compliance testing, and certification under FINRA 3130
• Experience with FINRA Rule 2241 regarding equity research is a major plus
• Familiarity with compliance systems and related platforms such as DocuSign, Smarsh, ComplySci, and Dow Jones Risk Center a plus
• Knowledge of FCA and EU regulatory requirements a plus
• Four year college degree required; JD preferred
• U.S. work authorization

• Public speaking and live training experience including the ability to tailor training materials to the firm based on the regulatory landscape
• Exceptional writing and verbal communication skills, able to prepare high impact materials in multiple formats
• Participate effectively in both internal and external meetings 

• Team player who can contribute to building a positive team spirit, keeps commitments, inspires the trust of others, works with integrity and ethically, and upholds firm values
• Ability to perform under pressure amid tight deadlines; can effectively prioritize and plan
• Collaborative across teams and levels, both internally and externally

• Managing Partner and Managing Directors formerly of Goldman Sachs and JP Morgan
• Award-winning execution; Investment Bank of the Year / Boutique of the Year Awards (among many others)
• Executing both billion dollar and early stage / high-growth VC transactions
• Excellent career path, strong and competitive compensation
• Unparalleled deal flow with premier client base
• Access to world-class executives at high-growth companies
• Dominant footprint in the one of largest sectors: financial technology
• Top-notch financial sponsor relationships
• Close-knit, rapidly growing team 

• Divvy's $2.5 billion Sale to Bill.com
• GreenSky’s $2.2 billion Sale to Goldman Sachs
• Truebill’s $1.3 billion Sale to Rocket Companies
• Currencycloud’s $1 billion Sale to Visa
• Revolut's $800 million Financing at a $33 billion Valuation
• Mollie’s $800 million Financing at a $6.5 billion Valuation
• Payrix’ ~$800 million Sale to FIS
• Cross River’s $620 million Series D Financing
• Velocity Global’s $400 million Series B Financing
• SpotOn’s $300 million Series F Financing at a $3.6 billion Valuation
• Upgrade’s $280 million Series F Financing at a $6 billion Valuation
• Lendable’s $275 million Financing at a $4.5 billion Valuation
• Mambu’s ~$266 million Series E Financing at a ~$5.5 billion Valuation
• Newfront’s $200 million Financing at a $2.2 billion Valuation
• com’s $60 million Series C Financing at a $1.2 billion Valuation
• Acorns’ Acquisition of GoHenry

Inclusion and Equal Opportunity Employment: Financial Technology Partners is an equal opportunity employer committed to diversity and inclusion. We are pleased to consider all qualified applicants for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, age, disability, protected veterans status, Aboriginal/Native American status or any other legally-protected factors.