About AtomicWe are a fast-growing, mission-driven company powering the expansion of financial services and wealth creation globally. We build critical financial infrastructure that allows consumer-facing companies to offer engaging investing experiences to their customers in a frictionless way. We host advanced investing capabilities ranging from ESG investing to multi-currency trading across 60 global markets. We are a team of financial empowerment enthusiasts that have come together from various industries including tech, banking, finance, and law.The company closed its Series A and we are positioned to rapidly scale. Come join an exciting opportunity to make a lasting impact!Role
The Compliance Associate position will play a significant role in the continued development of the compliance function and operationalizing compliance across the firm. You ll be reporting into and working alongside the Chief Compliance Officer while partnering with Partnerships, Product, Marketing, Information Technology, and Brokerage Operations. The right person is one who is legitimately eager to learn, has a growth mindset, and wants to have a broader organization-wide impact in their next role.
Once here you will
- Draft broker-dealer policies and procedures
- Ensure we have proper internal controls procedures between Compliance and Brokerage Operations, Finance and other relevant departments
- Respond to regulatory inquiries while explaining complex workflows clearly and concisely
- Research client complaints, draft correspondence to regulators and customers, and make related filings
- Learn the process for effectively managing a regulatory exam and producing a positive outcome for the Firm
- Effectively identify and internally report operational, financial, and regulatory risks
- Conduct marketing and advertising reviews to ensure they comply with FINRA rules
- Oversee individual and firm registrations with FINRA and the SEC
- Assist with obligations as it pertains to Access Persons for the RIA and Registered and NRFs for the broker-dealer
- Assist with leveraging technology to enhance the automation of compliance
Qualifications
- 5+ years financial services experience with a Broker Dealer
- FINRA Series 7 & 24 required
- Experience drafting broker-dealer policies and procedures
- Technical aptitude and experience working with IT or Engineering department (in terms of Compliance collaboration) is a must
- Startup / FinTech experience preferred
- Knowledgeable of financial markets and investing
- College degree in Economics, Finance, Accounting, Engineering, Computer Science or related field
- Knowledge of trading desk and back office mechanics - equity securities a must, treasuries / options nice to have
- Experience with systems such as FINRA CRD and IARD is required
- Experience with systems such as Red Oak and Global Relay is a plus
- Experience with Compliance Management systems such as My Compliance Office, Schwab Compliance Technologies, or other similar platforms
- Strong organization skills and ability to project manage in a fast paced environment
Atomic is an equal opportunity employer that values the benefits of diversity and prohibits discrimination and harassment All employment decisions at Atomic are based on business needs, job requirements and individual qualifications, without regard to age, race, color, religion or belief, stature, gender or sexual orientation, family or parental status, or any other status protected by the laws or regulations in the locations where we operate. Atomic will not tolerate discrimination or harassment based on any of these characteristics.
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