Marketplace Compliance & Operations
Addepar has the potential to make investing in private assets more transparent, more efficient, and more ethical. We’re building a single platform that unifies hundreds of portfolio and market data systems and leveraging that platform to create robust, powerful financial applications. The problems we’re tackling are complex and globally important.
Our newest team, Insights & Marketplace, are building data-driven tools and analytics to help our clients make more informed investment decisions, and an order management and execution platform to provide access to a wide range of investment products. This is an exciting new business for Addepar with high growth potential that is still in early stages of development. We’re looking for a proven leader and entrepreneur who thrives in fast-paced environments and enjoys the challenge of building a new venture within an existing high growth company. As a Compliance & Operations Manager for Marketplace, you will partner directly with the COO of our broker-dealer affiliate, Acervus Securities as well as our Sales, Marketing, and Product teams to create, maintain, and automate compliance and execution functions. This is an exciting opportunity to join a new, highly visible team at the ground level. The ideal candidate is comfortable working hands-on, is ambitious, and results-oriented. Most of all, we want someone passionate about building efficient and high-functioning processes.
Responsibilities:
- Develop policies and procedures to mitigate compliance and operational risk
- Work with our engineering and product teams to automate operations and compliance functions
- Process and monitor transactions
- Support the development of new Marketplace initiatives
- Manage state and individual broker-dealer registrations
- Act as a bridge between clients and product partners to ensure proper communication
- Document operational and compliance knowledge, issues, processes, and best practices
Qualifications and Experience:
- 3+ years of applicable experience
- Ability to translate business objectives into a technical vision that balances time to market with the need to build flexible and scalable architecture
- Experience in a compliance-related function at a financial services or fintech company, specifically with private placements
- Crisp attention to detail and strong organizational skills
- Excellent interpersonal, written, and oral communication skills
- Excellent listening skills and the ability to ask probing questions, understand concerns, and overcome objections
- Genuine passion for supporting team members and clients
- Entrepreneurial mindset with the ability to operate effectively in a fast-paced growth company
- FINRA Series 7, 63, 24
Addepar is a wealth management platform that specializes in data aggregation, analytics, and reporting for even the most complex investment portfolios. The company’s platform aggregates portfolio, market, and client data all in one place. It provides asset owners and advisors a clearer financial picture at every level, allowing them to make more informed and timely investment decisions. Addepar works with hundreds of leading financial advisors, family offices, and large financial institutions that manage data for over $1.7 trillion of assets on the company’s platform. In 2020, Addepar was named as a Forbes Fintech 50 and in 2018 received Morgan Stanley’s Fintech Award for making a significant impact on the firm’s mission of continuous innovation. Addepar is headquartered in Silicon Valley and has offices in New York City and Salt Lake City.
Addepar is an equal opportunity employer. We’re committed to building together and to do that best, we rely on a range of backgrounds, experiences, and ideas.