Securities Compliance Officer (US)

New York
Regulatory Compliance – Services · Legal · Regulatory Compliance
Permanent
A LITTLE ABOUT US 🤔
From clunky apps to hidden fees, banking is broken. So we decided to build a company from the ground that would challenge the bigger players and reinvent how people interact with their money — for the better.
Traditional banks are slow and expensive. Realistically, you’re nothing but a number to them with dollar signs attached. So, one continent at a time, we plan on changing this.

OUR CULTURE 👫
To put it bluntly — it’s about getting shit done and owning what you do. We don’t hide behind fancy job titles or set up bureaucratic processes. Instead we treat our people equally, fairly and give them a ton of freedom and autonomy to create something awesome.
We make mistakes, we learn from them and we back everything up with data and logic.
In three years, we’ve grown to over 700 people and we’re adding around 30 new additions each month. From engineers to marketers, we’re on the hunt for exceptional talent to help us scale our business and get Revolut in the hands of millions of people everywhere.

WHAT WE NEED 🚀
- Current FINRA Series 7, 24 licenses. In addition, Series 63 is preferred.
- Excellent academic and industry credentials.
- At least 3 years of compliance experience at a US broker-dealer or at a securities regulator.
- Deep understanding of Financial Crimes and AML.
- Excellent analytical and organizational skills with strong attention to detail.
- Intimate knowledge of the Investment Advisers Act of 1940 and FINRA Rules and Guidance.
- Ability to meet deadlines in a fast-paced environment.
- Proficient in drafting procedures and evaluating internal controls.

WHAT YOU’LL BE DOING ✍️
- Assisting government regulatory bodies, law enforcement and counter-parties to thwart illegal activities such as money laundering, fraud and cyber-crimes.
- Working with the engineering and operations resources to create robust compliance and control systems.
- Managing all aspects of the firm's AML Program, including the testing, audit and continuous improvement of our policies and procedures.
- Surveillance, Monitoring and EDD of suspicious client activities.
- Heading investigations regarding fraud and potential money laundering of clients.
- Developing strategies to stay one step ahead of fraudsters and money launderers.
- Leading, mentoring and training AML and customer service teams to detect and escalate red flags.
- Drafting, updating and managing the firm's AML written supervisory procedures.
- Working with stakeholders to deploy technology driven solutions to streamline workflows.

WHAT SKILLS YOU'LL NEED 📖 
- Besides strong analytical skills, being process driven and have a methodological way of working, you need to have excellent communication skills (concise and direct) and experience of influencing a broad range of decision makers and stakeholders.
- Substantive knowledge and demonstrated expertise in the U.S. regulatory environment.
- Excellent business judgment, communication and interpersonal skills.
- Enthusiasm for taking on new responsibilities, even if outside areas of expertise.
- Able to learn new regulations quickly.
- Able to work in extremely fast-paced environment, collaboratively, and autonomously.
- Willingness and ability to travel.
- Written and spoken fluency in English required.
- Willing to take on new challenges.
BENEFITS 🎁
• You’ll get to work in one of the hottest and fastest growing tech startups in the world right now.
• We’ll arm you with all of the latest tech equipment.
• Competitive salary.
• Competitive 401(k) plan.
• Competitive vacation policy.
• Free dinners.
• Flexible work hours.

Please only submit an application for one posting.