EquityZen is an early-mid stage financial technology company, backed by leading private equity investors. We're looking for a collaborative, thoughtful Compliance Officer to join us in a full-time capacity at a leading and innovative fintech firm. Our ideal candidate loves teaching, building out effective and intelligence processes and always seeks new and improved ways of doing things. If building a first-rate compliance organization with an innovative, fast-growing startup excites you, we’d love to hear from you.
Our platform enables large, private companies to deliver liquidity to their shareholders while providing investors access to invest in these proven, pre-IPO companies. EquityZen has served over 250 pre-IPO technology companies and is proud to be considered a liquidity provider for 60% of the largest US unicorns. A testament to EquityZen's secure, paperless, and industry-defining online investment platform, we have successfully completed 17,000+ private placement transactions. Focusing on automating an antiquated offline process has allowed us to lead the charge in building more efficient, cost-effective, and transparent private markets. Watch this short video to learn more: equityzen.com/press.
Reporting to the General Counsel, you will:
- Serve as a leader of our compliance organization, providing guidance and support to our business teams, third-party diligence partners, and senior management
- Partner with senior leadership to analyze changes to regulatory requirements and their applicability to our products, striving to proactively provide creative and compliant solutions
- Ensure that broker-dealer and investment advisor functions adhere to appropriate regulatory policies, procedure and controls, and they are well-maintained and well-documented
- Deliver and develop training and communications on compliance policies and procedures to ensure proper understanding throughout the organization
- Mentor, oversee and grow a small team of talented compliance professionals
- Take ownership of regulatory examinations, annual meetings, Form ADV and Form BD filings, and other required federal and state filings
- Serve as the AML Officer for the broker-dealing, fulfilling all AML and anti-fraud related requirements of the business
- Maintain all required books, records, manuals, procedures and correspondence, and conduct vendor due diligence
- Update, test, maintain and develop policies and procedures proactively to meet changing regulatory milestones.
- Oversee review of marketing materials to ensure all applicable standards are met
- Oversee risk-based-monitoring, communications review and help the firm meet other compliance requirements
- Gain project management experience, assess and implement new technologies, identify opportunities for automation and process optimization, and improve our private marketplace
THE RIGHT STUFF
- 8+ years’ experience as a compliance professional at a broker-dealer or dual-registered broker-dealer/investment advisor.
- Experience with rules and regulations applicable to broker-dealers and investment advisors
- Comfortable giving advice and solving problems in the face of ambiguity in a fast-past environment.
- Leadership skills and the ability to build and maintain a culture of compliance, ownership and accountability
- Comfort with adapting existing guidance to new markets and desire to learn about, and research, new and emerging issues
- Collaborative, team player, with outstanding initiative, organization skills and willingness to roll up your sleeves and get into details
- Outstanding judgment, uncompromising integrity and discretion
- Strong verbal and written communications skills, enthusiasm and a desire to teach about legal obligations and compliance topics
- Demonstrates flexibility and the ability to prioritize
- Ability to initiate and drive projects to conclusion with minimal guidance
- Series 7 and Series 24 licenses
- Either been a CCO or the number two compliance professional for a broker-dealer or dual-registered broker-dealer / investment advisor
- Experience working at the SEC’s Division of Examinations (formerly OCIE) or at FINRA or the OSC
- Experience working with an Exempt Market Dealer, including having taken, or interest in taking, the Exempt Market Products Exam or the Canadian Securities Course Exam, or other Canadian exams
- 1+ years working in compliance function at a fintech startup
- Juris Doctor degree (optional)
- CAMS certification
EquityZen offers a competitive salary, stock options, full employee benefits (health, dental, vision), individual professional development and wellness budget, flexible paid time off, and more!
We are dedicated to prioritizing all employees’ health and safety during the COVID-19 pandemic. We have a new, socially-distant friendly office space in NYC’s financial district where we have established strict protocols to protect the health and safety of all employees; however, working from the office is strictly voluntary until further notice.
EquityZen provides equal employment opportunities (EEO) to all employees and applicants for employment without regard to race, color, religion, sex, national origin, age, disability or genetics. In addition to federal law requirements, EquityZen complies with applicable state and local laws governing nondiscrimination in employment in every location in which the company has facilities. This policy applies to all terms and conditions of employment, including recruiting, hiring, placement, promotion, termination, layoff, recall, transfer, leaves of absence, compensation and training. EquityZen expressly prohibits any form of workplace harassment based on race, color, religion, gender, sexual orientation, gender identity or expression, national origin, age, genetic information, disability, or veteran status. Improper interference with the ability of EquityZen’s employees to perform their job duties may result in discipline up to and including discharge.