We are making the most advanced forms of wealth creation available to every single human being—not just the top 1% of earners. Our team has built the infrastructure that will underlie a new disruptive generation of wealth management. Atomic is partnering with consumer companies to make our capabilities broadly available to the millions of individuals who are woefully underserved by the traditional finance industry. We have a unique set of intellectually challenging problems that we are solving. If working on hard problems while bringing about significant positive change to society speaks to you, then Atomic might be the right place.
The company recently closed its Series A and we are positioned to rapidly scale. Come join an exciting opportunity to make a lasting impact!
As a member of the Compliance team, you will be responsible for all aspects of the Firm’s Risk and Compliance Framework, including regulatory relationship management, reporting, surveillance, filings, internal controls testing, policy and procedure development, and special projects.
Once here you will
- Provide compliance support across the Enterprise to promote compliance in accordance with all applicable Investment Adviser and Broker-Dealer rules and regulations.
- Conduct day-to-day compliance activities under the direction of the CCO including monitoring, trade surveillance, personal trade monitoring, email reviews, marketing material reviews, compliance risk assessments, vendor and client diligence, and AML/OFAC reviews.
- Assist with updating regulatory filings, and maintenance of the Firm’s SEC and FINRA filings.
- Assist in updating and maintaining policies and procedures as appropriate.
- Develop program materials and conduct compliance training.
- Serve as a point of contact for other departments, service providers, and counterparties.
- Monitor new regulatory developments and prepare monthly reports.
- Prepare and submit compliance and risk management business intelligence to key stakeholders throughout the Enterprise.
- Establish and maintain required books and records. Arrange execution and help maintain legal agreements.
- Assist the CCO in managing internal and external audits, regulatory examinations, and various compliance projects.
- Minimum 3 years of relevant legal or compliance experience in the financial / fintech industry; experience with a regulator is a plus.
- Series 7 is a plus.
- Strong attention to detail.
- Strong research, analytical and problem-solving skills.
- Self-starter. Ability to work in a fast-paced environment with minimal supervision and independent follow-up skills.
- Excellent written and oral communications skills.
- Organizational and time management skills; ability to prioritize and manage multiple projects.
- Competitive compensation package with equity upside
- Medical, vision and dental benefits
- Unlimited PTO
- Ability for hybrid/remote arrangement depending on location
Atomic is an equal opportunity employer that values the benefits of diversity and prohibits discrimination and harassment All employment decisions at Atomic are based on business needs, job requirements and individual qualifications, without regard to age, race, color, religion or belief, stature, gender or sexual orientation, family or parental status, or any other status protected by the laws or regulations in the locations where we operate. Atomic will not tolerate discrimination or harassment based on any of these characteristics.