FT Partners

Compliance Manager


PayCompetitive
LocationSan Francisco/California
Employment typeFull-Time

This job is now closed

  • Job Description

      Req#: 6948631002
      Employer Industry: Financial Technology Investment Banking

      Why Consider this Job Opportunity:
      - Competitive compensation package
      - Opportunity for career growth and advancement within the organization
      - Access to world-class executives at high-growth companies
      - Strong deal flow with a premier client base
      - Collaborative and close-knit team environment
      - Recognition as a top-performing investment banking firm

      What to Expect (Job Responsibilities):
      - Oversee and execute FINRA, SEC, FCA, and related regulatory compliance
      - Stay updated on regulatory developments and advise firm management on strategic decision making
      - Monitor employee and business compliance matters on a day-to-day basis
      - Design and tailor a compliance program to meet the firm's evolving needs
      - Write and maintain firm policies and procedures

      What is Required (Qualifications):
      - 4+ years of FINRA and SEC compliance experience, preferably in Investment Banking or Private Equity
      - Good knowledge of FINRA regulations and applicable regulatory requirements
      - Working knowledge of federal and state laws and regulations applicable to investment banking
      - Ability to articulate regulatory requirements to all levels of employees
      - Experience with FINRA Gateway and handling ad hoc regulatory inquiries

      How to Stand Out (Preferred Qualifications):
      - Familiarity with compliance systems and related platforms
      - Knowledge of FCA and EU regulatory requirements
      - JD preferred

      #FinancialTechnology #ComplianceManagement #InvestmentBanking #CareerGrowth #CompetitiveCompensation

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      We are not the EOR (Employer of Record) for this position. Our role in this specific opportunity is to connect outstanding candidates with a top-tier employer.
  • About the company

      FT Partners is a San Francisco based investment banking firm that is focused solely on the financial technology sector...

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