Compliance Officer / Brokerage Operation

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.
Responsibilities

• Assist CCO with managing the administration of the broker dealer program
• Assist with AML and CIP requirements for onboarding new customers.
• Assist with servicing client related requests/issues.
• Compile information required to submit Firm regulatory filings
• Oversee registration of personnel, including pre-hire review, obtaining required documentation, submitting regulatory filings, and the maintenance of records
• Review employee requests, such as new brokerage accounts, outside business activities, and gifts and entertainment
• Coordinate 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 procedures
• Assist with administration of marketing materials workflow
• Assist with audits and regulatory inquiries and exams, including document and data retrieval
• Assist CCO with scheduled meetings, including maintaining agenda and follow up items
• Support and assist with audits, special projects and ad hoc requests/tasks as required

Qualifications
Required

• Have or develop strong understanding of FINRA, SEC and other relevant regulatory rules, regulations and guidelines
• 7+ years of broker dealer experience preferred
• Previous broker dealer compliance or other financial services responsibilities a plus
• Knowledge of FINRA Rules required
• Proficient in Microsoft Office Suite (Word, Excel, PowerPoint)
• Bachelor's Degree (or equivalent relevant experience)

Preferred

• Strong sense of ownership and accountability
• Adept at working in a fast-paced environment
• Solutions oriented
• High accuracy and extremely detail-oriented
• Effective communication skills and excellent client-service orientation; responsive and dependable
• Exceptional organizational skills
• Comfort in dealing with ambiguity and uncertainty in a dynamic start up environment
• Dependable, highly motivated team player; fosters team collaboration.
• Ability to handle confidential information appropriately
• Series 7 24, and 63 licenses required