Compliance Officer - Broker-Dealer

We are currently looking for an experienced, hands-on, and energetic Compliance Officer to join our broker-dealer in our NY office!

The ideal candidate will be responsible for leading the compliance function of our Broker Dealer, including conducting reviews to evaluate the firm’s compliance with applicable laws and regulations and ensuring that control gaps are adequately escalated and mitigated through remedial actions.

Wematch is on a mission to lead the digital transformation of the largest industry in the world, global capital markets. Back in 2017, we created our award-winning solution which digitizes dealing workflows with banks, clients, and internal teams. Our tools, which include smart matching, negotiation, lifecycle management, sales to trader, and intra and external flows, drive efficiencies across financial institutions’ operations.

The Wematch platform is used by 900+ dealers at 90+ financial institutions across the globe and features several asset classes, including Securities Finance, Interest Rates Swaps, and Equity Derivatives. Over the past couple of years, we have raised more than $30m in equity funding from global financial institutions and VCs to fuel our global expansion.

This role will give you full exposure to:

• Conduct reviews in order to assess compliance with legal, regulatory, and internal firm policy requirements
• Advise team members with respect to applicable regulatory requirements to ensure testing is adequately designed to identify potential control gaps, and non-compliance with laws and regulations
• Determine the root cause of issues and develop effective remediation plans to mitigate the risks
• Drive implementation of local regulatory change/remediation projects and initiatives
• Serve as point person on FINRA and/or SEC inquiries and examinations of the broker-dealer, working closely with key stakeholders in the Wematch group
• Series 7 & 24

A bit about you:

• 5+ years of industry experience covering institutional broker-dealer activities
• Strong analytical, writing, and presentation skills
• Highly motivated, proactive individual who has demonstrated the ability to take initiative, identify issues, propose solutions, and implement change
• Strong attention to detail, balanced with a strong focus on execution and results
• Self-starter, able to work in a fast-paced, results-driven environment with the ability to multi-task, adapt to shifting priorities, and work both independently and effectively in a team setting
• Excellent communication skills

We’re a Team without judgment or prejudice. We want to work with the best people, no matter their background. So if you’re passionate about sharing your expertise, learning new things and are keen to join our mission, you’ll fit right in.

Salary Range: $120,000/yr · Full-time