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๐ค Closed by robot after apply link errored w/ code 403 1 year ago
\nAbout Figure\n\nFigure is transforming the trillion dollar financial services industry using blockchain technology. \n\nIn four short years, Figure has unveiled a series of fintech firsts using the Provenance blockchain for loan origination, equity management, private fund services, banking and payments sectors - bringing speed, efficiency and savings to both consumers and institutions. Today, Figure is one of less than a thousand companies considered a unicorn, globally.\n\nOur mission requires us to have a creative, team-oriented, and supportive environment where everyone can do their absolute best. The team is composed of driven, innovative, collaborative, and curious people who love architecting ground-breaking technologies. We value individuals who bring an entrepreneurial mindset to every task and will embrace our culture of innovation. \n\nEvery day at Figure is a journey in continuous learning yet a daily focus on getting work done that makes a difference. Join a team of proven leaders who have already created billions of dollars in value in the FinTech space!\n\nForbes Americaโs Best Startup Employers\n\nForbes Top 50 Blockchain Companies\n\nFigure Series D Announcement\n\n \n\nAbout The Role\n\nChief Compliance Officer of Marketplace will lead the Marketplace compliance team, including the broker-dealer and RIA compliance teams, and oversee the related compliance, regulatory and audit functions. Chief Compliance Officer of Marketplace will assume primary responsibility for assuring broker-dealer compliance with SEC, FINRA, and state rules/regulations as well as all other federal statutes and trends, effectively manage and mitigate risk, establish proper controls and protect Figureโs Marketplace from legal and regulatory risk. \n\nWhat Youโll Do\n\n\nDevelop, implement and maintain the Marketplace compliance program, including the broker-dealer and RIA compliance programs.\n\nLead a team of qualified compliance professionals.\n\nProvide appropriate support, advice and training to relevant stakeholders with respect to FINRA and SEC rules and regulations, licensing requirements, and other compliance-related issues.\n\nServe as the primary point of contact for and manage regulatory examinations and inquiries, external audits, and third party diligence requests, including for SEC, FINRA and state regulatory bodies.\n\nDrive corrective action process across all Marketplace products, including collaborating across business units to resolve, document issues and investigate, develop, and implement appropriate corrective action plans in response to regulatory, testing, or audit findings.\n\nServe as Compliance resource for the building of new products and maintenance of existing Marketplace products, including assessing compliance implications of new and current Marketplace products. conducting regulatory research as necessary, drafting disclaimers and disclosures, conducting testing, and reviewing application flows and product processes.\n\n\nEnsure broker-dealer compliance with SEC, FINRA, and state rules/regulations as well as all other federal statutes and trends.\n\n\nIdentify current and emerging regulatory risks, implement risk mitigation plans, and provide guidance to relevant stakeholders.\n\nMaintain Form ADV Parts 1 and 2A and file annual amendments and interim ADV updates.\n\nMaintain procedures in areas such as best execution, share class analysis, due diligence, performance reporting, proxy voting, and advertising.\n\nReview and approve marketing materials and other public communications.\n\nDevelop and execute appropriate testing programs to verify compliance with relevant rules.\n\n\n\n\n \n\nWhat We Look For\n\n\n5+ years of senior broker-dealer compliance experience in a compliance department of a registered broker-dealer\n\nExperience leading a team\n\nThorough knowledge of Securities Act of 1933 (including Reg D), Investment Advisers Act of 1940, and other SEC/FINRA rules and regulations\n\nExceptional communication skills (verbal and written), from novice to expert audiences and explanatory to advocacy circumstances\n\nExceptional judgment and integrity\n\nAbility to work cross-functionally with ease\n\nStrong work ethic and high attention to detail\n\nStrong operational abilities with an eye for optimizing and improving procedures\n\nStrong knowledge of control frameworks and the ability to design and evaluate effectiveness of controls embedded within business processes\n\nSeries 7, 24 (required)\n\nKnowledge of and experience with blockchain applications a plus\n\n\n\n\nBenefits and Perks\n\n\n* Competitive salary and growth opportunities \n\n* Company quarterly performance based bonus\n\n* Equity stock options package\n\n* Employer funded comprehensive health, vision, dental insurance and wellness program for employees and their dependents\n\n* Employer funded life and disability insurance coverage\n\n* Company HSA, FSA, Dependent Care, 401k, and commuter benefits\n\n* Up to 12 weeks paid family leave \n\n* In office, remote, and hybrid work location options\n\n* Home office and technology stipend for those working outside of a traditional office more than 75% of the time\n\n* Flexible time-off plan to empower employees to take the time off that they want and need\n\n* Continuing education reimbursement\n\n* Routine Team swag deliveries!\n\n\n\n\nDepending on your residential location certain laws might regulate the way Figure manages applicant data. California Residents, please review our California Employee and Prospective Employee Privacy Notice for further information. By submitting your application, you are agreeing and acknowledging that you have read and understand the above notice.\n\nFigure will not sponsor work visas for this position. In compliance with federal law, all persons hired will be required to verify identity and eligibility to work in the United States and to complete the required employment eligibility verification form upon hire. \n\n \n \n\n#Salary and compensation\n
No salary data published by company so we estimated salary based on similar jobs related to Design, Embedded, Testing, Education, Senior, Marketing, Legal and Digital Nomad jobs that are similar:\n\n
$60,000 — $120,000/year\n
\n\n#Benefits\n
๐ฐ 401(k)\n\n๐ Distributed team\n\nโฐ Async\n\n๐ค Vision insurance\n\n๐ฆท Dental insurance\n\n๐ Medical insurance\n\n๐ Unlimited vacation\n\n๐ Paid time off\n\n๐ 4 day workweek\n\n๐ฐ 401k matching\n\n๐ Company retreats\n\n๐ฌ Coworking budget\n\n๐ Learning budget\n\n๐ช Free gym membership\n\n๐ง Mental wellness budget\n\n๐ฅ Home office budget\n\n๐ฅง Pay in crypto\n\n๐ฅธ Pseudonymous\n\n๐ฐ Profit sharing\n\n๐ฐ Equity compensation\n\nโฌ๏ธ No whiteboard interview\n\n๐ No monitoring system\n\n๐ซ No politics at work\n\n๐ We hire old (and young)\n\n
\n\n#Location\nWorldwide
# How do you apply?\n\nThis job post has been closed by the poster, which means they probably have enough applicants now. Please do not apply.