A little about us...
Our company, currently operating in stealth mode, is a well-financed, financial technology start-up located in the Pacific Northwest. The company is currently in the process of being spun out of its corporate parent. We have an exciting opportunity for a Compliance Officer to join our growing team. You will manage the day-to-day compliance efforts for the company and report directly to the Chief Compliance Officer. This role is key to the company’s success.
What you'll be doing...
* Follow the company’s compliance policies and procedures to ensure the company to ensure all regulatory filings are performed and the company follows all applicable laws and regulations, such as:
* Reviewing and documenting our client’s, and to the extent possible, our client’s clients to ensure they are appropriately screened for Bank Secrecy Act purposes
* Implement Anti-Money Laundering (AML) procedures for the company, including procedures to satisfy the Office of Foreign Assets Control (OFAC) requirements
* Work with state regulators directly, and federal regulators, as directed by the Chief Compliance Officer.
* Provide thoughtful and insightful client, and client’s client screening criteria, to help identify and potentially report suspicious activity
* Ensuring any and all regulatory filings are submitted
* Executing the compliance activities supporting the company’s business
* Be our clients’ first point of contact for regulatory issues, concerns, or every day matters
* Be part of the team that reviews and approves customers' operations to ensure they meet all regulatory requirements and our internal standards for compliance
* As directed by the Chief Compliance Officer, assist in performing compliance risk assessments, and the testing and monitoring program, in accordance with regulatory expectations and best practices
* Develop a close working relationship with our client’s compliance operations
* Work with senior management, clients, and other key constituencies to encourage, promote and enhance a culture of ethical conduct and a commitment to compliance with applicable laws and regulations
* Be a company point of contact for regulators
* Represent the company during industry meetings related to financial technology compliance and regulations
* Provide recommendations to the business regarding the implementation and impact of new rules and regulations
What you bring...
* 3-5 years compliance experience within the banking and/or financial service industry
* Undergraduate degree from a 4-year institution
* J.D. from a highly respected law school, with superior academic credentials OR currently in pursuit of J.D.
* Member in good standing of a state bar if J.D. obtained
* Completion of a Bank Secrecy Act Compliance Training Program
* Working knowledge of U.S. Department of the Treasury financial regulations including the Office of Foreign Assets Control (OFAC) and Financial Crimes Enforcement Network (FinCEN), including Money Services Businesses regulations
* Working knowledge of the U.S. Federal Reserve regulations
* Working knowledge of the Dodd-Frank Act, the Commodity Exchange Act, the Securities Exchange Act of 1934, Investment Adviser’s Act of 1940, and the Bank Secrecy Act including Anti-Money Laundering (AML) regulations
* Excellent verbal and written communication skills and executive presence
* Strong project management skills, work ethic with great attention to detail
* Demonstrable ability to work independently as well as part of a global team
* Comfortable working in a highly entrepreneurial office setting in a start-up environment
* You can reside in the company’s home office in Seattle
You're a great if...
* You are a Certified Regulatory Compliance Manager Certification (CRCM)
* You have experience in the financial services industry as a regulator
What we offer:
* Competitive start-up salary
* Full benefits package
* Potential for equity
* Fun place to work with smart people!
* Collaborative environment and a small team, currently we’re less than 10 employees in our immediate entity
* You can bring your dog to work if you like
The company is an Equal Opportunity Employer who encourages diversity in the workplace. All qualified applicants will receive consideration for employment without regard to race, color, national origin, religion, sex, age, disability, citizenship, marital status, sexual orientation, gender identity, military or protected veteran status, or any other characteristic protected by applicable law.
To agencies: We are currently not working with agencies, thanks.
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