Compliance Associate | Banking or Broker Dealer

• Job Description

Join a trailblazing FinTech leader at the cutting edge of liquidity and cash management services for banks, credit unions, and wealth managers. With a strong track record of growth and innovation, their organization offers the perfect platform for ambitious professionals looking to make their mark in compliance while advancing their careers in a rapidly evolving industry.

Why Join Them?

Be at the forefront of compliance innovation in the financial services space. As a Compliance Associate, you’ll work alongside top-tier professionals, directly contributing to a best-in-class compliance program. You’ll have the opportunity to shape policy, drive regulatory adherence, and support the ethical foundations of a fast-growing organization—all while receiving mentorship from seasoned leaders.

• Professional Growth: With direct exposure to senior leadership, you’ll gain invaluable insights and play a key role in impactful projects. This is your chance to not just maintain compliance but drive it.
• Expanding Scope: As the company grows, so does your role. Expect to deepen your expertise across banking, broker-dealer, and fintech compliance while positioning yourself for leadership opportunities.
• Flexibility & Balance: They offer a hybrid work schedule, giving you the flexibility of working remotely while staying connected to their vibrant Midtown office.

Key Responsibilities:

• Compliance Program Leadership: Support the Senior Compliance Director in maintaining and evolving their second-line compliance framework.
• Policy Management: Spearhead the policies and procedures management program, ensuring regulatory alignment across all departments.
• Ethics & Fraud Risk Management: Collaborate with HR and Risk departments to maintain robust ethical guidelines and mitigate fraud risks.
• Regulatory Compliance Testing: Lead compliance testing initiatives and ensure adherence to industry regulations through audits and assessments.
• Cross-functional collaboration: Act as a trusted advisor to business units, ensuring regulatory requirements are embedded in all operations.

The Expertise They Require:

• Bachelor’s degree in finance, law, or a related field.
•  3+ years in a compliance role within the banking or broker-dealer sector.
• Strong knowledge of bank deposit laws, broker-dealer regulations, AML/BSA/OFAC.
• Excellent communication, analytical, and drafting skills.
• Proficiency in regulatory bodies’ guidelines (FRB, OCC, FDIC, CFPB, FinCEN).

Perks & Benefits:

• Competitive salary ($100k-$120k) + discretionary bonus
• Comprehensive Medical, Dental, and Vision insurance
• Flexible hybrid schedule (two days in the office, three days remote)
• 401(K) with a robust company match
• Annual wellness reimbursements (including gym membership)

Ready to Elevate Your Compliance Career?

Become a key player in a rapidly growing FinTech leader where your work will directly impact the future of compliance and innovation. Apply Now!