Dub
Compliance Officer / Brokerage Operation
Dub, New York, New York, us, 10261
About dub
Founded in 2021 in NYC, dub is building the first social investing marketplace by providing a simple way to share, reward, and invest alongside the best portfolios and minds in asset management. dub's innovative copy-trading platform gives fund managers, financial experts, and regular investors a simple way to make their investment wisdom actionable for regular individuals and distribute it globally.
Backing
We've raised money from visionaries who support our mission. Our institutional investors include Tusk Ventures Partners and Slow Venture, and our angels consist of partners from Sequoia and A16Z and the current or former CEO/Founders of Uber, Airbnb, Robinhood, Morgan Stanley Smith Barney, and TIAA.
About The Role
You will have the monumental task of working with dub's Founder and core team to transform our product from a great investing app to a billion-user fintech platform. You will have the full support of our talented team, proven leaders, and incredible investors. You will assist the CCO while working closely with senior leadership and other team members. You will help build a world-class consumer product organization and be obsessive about creating a unique investing experience for customers. You are focused on delivering results and know how to wield the soft and hard influence required to guide the team to delivering ambitious features and requirements on time. You are a hard worker who leads by example.
Location:
In our Soho, NYC Office at least three days a week
Compensation:
Competitive market comp ($60k - 150K based on experience). You'll also receive a generous amount of equity in dub.
ResponsibilitiesAssist CCO with managing the administration of the broker dealer programAssist with AML and CIP requirements for onboarding new customers.Assist with servicing client related requests/issues.Compile information required to submit Firm regulatory filingsOversee registration of personnel, including pre-hire review, obtaining required documentation, submitting regulatory filings, and the maintenance of recordsReview employee requests, such as new brokerage accounts, outside business activities, and gifts and entertainmentCoordinate with CCO to develop the Firm's internal compliance dashboard for servicing client accounts, managing the books and records database, corporate actions, and other operational tasks.Review and maintain broker dealer written supervisory procedures and operational proceduresAssist with administration of marketing materials workflowAssist with audits and regulatory inquiries and exams, including document and data retrievalAssist CCO with scheduled meetings, including maintaining agenda and follow up itemsSupport and assist with audits, special projects and ad hoc requests/tasks as requiredQualifications
Required
Have or develop strong understanding of FINRA, SEC and other relevant regulatory rules, regulations and guidelines7+ years of broker dealer experience preferredPrevious broker dealer compliance or other financial services responsibilities a plusKnowledge of FINRA Rules requiredProficient in Microsoft Office Suite (Word, Excel, PowerPoint)Bachelor's Degree (or equivalent relevant experience)Preferred
Strong sense of ownership and accountabilityAdept at working in a fast-paced environmentSolutions orientedHigh accuracy and extremely detail-orientedEffective communication skills and excellent client-service orientation; responsive and dependableExceptional organizational skillsComfort in dealing with ambiguity and uncertainty in a dynamic start up environmentDependable, highly motivated team player; fosters team collaboration.Ability to handle confidential information appropriatelySeries 7 24, and 63 licenses required
Founded in 2021 in NYC, dub is building the first social investing marketplace by providing a simple way to share, reward, and invest alongside the best portfolios and minds in asset management. dub's innovative copy-trading platform gives fund managers, financial experts, and regular investors a simple way to make their investment wisdom actionable for regular individuals and distribute it globally.
Backing
We've raised money from visionaries who support our mission. Our institutional investors include Tusk Ventures Partners and Slow Venture, and our angels consist of partners from Sequoia and A16Z and the current or former CEO/Founders of Uber, Airbnb, Robinhood, Morgan Stanley Smith Barney, and TIAA.
About The Role
You will have the monumental task of working with dub's Founder and core team to transform our product from a great investing app to a billion-user fintech platform. You will have the full support of our talented team, proven leaders, and incredible investors. You will assist the CCO while working closely with senior leadership and other team members. You will help build a world-class consumer product organization and be obsessive about creating a unique investing experience for customers. You are focused on delivering results and know how to wield the soft and hard influence required to guide the team to delivering ambitious features and requirements on time. You are a hard worker who leads by example.
Location:
In our Soho, NYC Office at least three days a week
Compensation:
Competitive market comp ($60k - 150K based on experience). You'll also receive a generous amount of equity in dub.
ResponsibilitiesAssist CCO with managing the administration of the broker dealer programAssist with AML and CIP requirements for onboarding new customers.Assist with servicing client related requests/issues.Compile information required to submit Firm regulatory filingsOversee registration of personnel, including pre-hire review, obtaining required documentation, submitting regulatory filings, and the maintenance of recordsReview employee requests, such as new brokerage accounts, outside business activities, and gifts and entertainmentCoordinate with CCO to develop the Firm's internal compliance dashboard for servicing client accounts, managing the books and records database, corporate actions, and other operational tasks.Review and maintain broker dealer written supervisory procedures and operational proceduresAssist with administration of marketing materials workflowAssist with audits and regulatory inquiries and exams, including document and data retrievalAssist CCO with scheduled meetings, including maintaining agenda and follow up itemsSupport and assist with audits, special projects and ad hoc requests/tasks as requiredQualifications
Required
Have or develop strong understanding of FINRA, SEC and other relevant regulatory rules, regulations and guidelines7+ years of broker dealer experience preferredPrevious broker dealer compliance or other financial services responsibilities a plusKnowledge of FINRA Rules requiredProficient in Microsoft Office Suite (Word, Excel, PowerPoint)Bachelor's Degree (or equivalent relevant experience)Preferred
Strong sense of ownership and accountabilityAdept at working in a fast-paced environmentSolutions orientedHigh accuracy and extremely detail-orientedEffective communication skills and excellent client-service orientation; responsive and dependableExceptional organizational skillsComfort in dealing with ambiguity and uncertainty in a dynamic start up environmentDependable, highly motivated team player; fosters team collaboration.Ability to handle confidential information appropriatelySeries 7 24, and 63 licenses required