Compliance Officer

| Greater NYC Area
Apply now
By clicking continue you agree to Built In’s Privacy Policy and Terms of Use.

EquityZen is an early-mid stage financial technology company, backed by leading private equity investors. We're looking for a collaborative, thoughtful Compliance Officer to join us in a full-time capacity at a leading and innovative fintech firm. Our ideal candidate loves teaching, building out effective and intelligence processes and always seeks new and improved ways of doing things.   If building a first-rate compliance organization with an innovative, fast-growing startup excites you, we’d love to hear from you.  

Our platform enables large, private companies to deliver liquidity to their shareholders while providing investors access to invest in these proven, pre-IPO companies. EquityZen has served over 250 pre-IPO technology companies and is proud to be considered a liquidity provider for 60% of the largest US unicorns. A testament to EquityZen's secure, paperless, and industry-defining online investment platform, we have successfully completed 17,000+ private placement transactions. Focusing on automating an antiquated offline process has allowed us to lead the charge in building more efficient, cost-effective, and transparent private markets. Watch this short video to learn more: equityzen.com/press.

Reporting to the General Counsel, you will:

  • Serve as a leader of our compliance organization, providing guidance and support to our business teams, third-party diligence partners, and senior management
  • Partner with senior leadership to analyze changes to regulatory requirements and their applicability to our products, striving to proactively provide creative and compliant solutions
  • Ensure that broker-dealer and investment advisor functions adhere to appropriate regulatory policies, procedure and controls, and they are well-maintained and well-documented
  • Deliver and develop training and communications on compliance policies and procedures to ensure proper understanding throughout the organization
  • Mentor, oversee and grow a small team of talented compliance professionals
  • Take ownership of regulatory examinations, annual meetings, Form ADV and Form BD filings, and other required federal and state filings
  • Serve as the AML Officer for the broker-dealing, fulfilling all AML and anti-fraud related requirements of the business
  • Maintain all required books, records, manuals, procedures and correspondence, and conduct vendor due diligence
  • Update, test, maintain and develop policies and procedures proactively to meet changing regulatory milestones.
  • Oversee review of marketing materials to ensure all applicable standards are met
  • Oversee risk-based-monitoring, communications review and help the firm meet other compliance requirements
  • Gain project management experience, assess and implement new technologies, identify opportunities for automation and process optimization, and improve our private marketplace

THE RIGHT STUFF

  • 8+ years’ experience as a compliance professional at a broker-dealer or dual-registered broker-dealer/investment advisor.
  • Experience with rules and regulations applicable to broker-dealers and investment advisors
  • Comfortable giving advice and solving problems in the face of ambiguity in a fast-past environment.
  • Leadership skills and the ability to build and maintain a culture of compliance, ownership and accountability
  • Comfort with adapting existing guidance to new markets and desire to learn about, and research, new and emerging issues
  • Collaborative, team player, with outstanding initiative, organization skills and willingness to roll up your sleeves and get into details
  • Outstanding judgment, uncompromising integrity and discretion
  • Strong verbal and written communications skills, enthusiasm and a desire to teach about legal obligations and compliance topics
  • Demonstrates flexibility and the ability to prioritize
  • Ability to initiate and drive projects to conclusion with minimal guidance
  • Series 7 and Series 24 licenses

BONUS POINTS

  • Either been a CCO or the number two compliance professional for a broker-dealer or dual-registered broker-dealer / investment advisor
  • Experience working at the SEC’s Division of Examinations (formerly OCIE) or at FINRA or the OSC
  • Experience working with an Exempt Market Dealer, including having taken, or interest in taking, the Exempt Market Products Exam or the Canadian Securities Course Exam, or other Canadian exams
  • 1+ years working in compliance function at a fintech startup
  • Juris Doctor degree (optional)
  • CAMS certification

EquityZen offers a competitive salary, stock options, full employee benefits (health, dental, vision), individual professional development and wellness budget, flexible paid time off, and more!

We are dedicated to prioritizing all employees’ health and safety during the COVID-19 pandemic. We have a new, socially-distant friendly office space in NYC’s financial district where we have established strict protocols to protect the health and safety of all employees; however, working from the office is strictly voluntary until further notice.

EquityZen provides equal employment opportunities (EEO) to all employees and applicants for employment without regard to race, color, religion, sex, national origin, age, disability or genetics. In addition to federal law requirements, EquityZen complies with applicable state and local laws governing nondiscrimination in employment in every location in which the company has facilities. This policy applies to all terms and conditions of employment, including recruiting, hiring, placement, promotion, termination, layoff, recall, transfer, leaves of absence, compensation and training. EquityZen expressly prohibits any form of workplace harassment based on race, color, religion, gender, sexual orientation, gender identity or expression, national origin, age, genetic information, disability, or veteran status. Improper interference with the ability of EquityZen’s employees to perform their job duties may result in discipline up to and including discharge.

Read Full Job Description
Apply now
By clicking continue you agree to Built In’s Privacy Policy and Terms of Use.

Technology we use

  • Engineering
  • Product
  • Sales & Marketing
    • GolangLanguages
    • JavascriptLanguages
    • PythonLanguages
    • ReactLibraries
    • ReduxLibraries
    • DjangoFrameworks
    • TensorFlowFrameworks
    • MemcachedDatabases
    • PostgreSQLDatabases
    • RedisDatabases
    • Google AnalyticsAnalytics
    • MixpanelAnalytics
    • SketchDesign
    • FigmaDesign
    • AsanaManagement
    • IntercomCRM
    • SalesforceCRM

Location

We have a new social-distance friendly space just doors from the New York Stock Exchange! Right in the heart of where good things happen for EquityZen

An Insider's view of EquityZen

What's the biggest problem your team is solving?

Our team is tackling the challenge of creating greater accessibility to Pre-IPO marketplaces. By developing technologies that streamline the process of private investing, we generate value for shareholders and investors. Additionally, by creating intuitive experiences we attract market participants with varying financial management expertise.

Shanie

Senior Front End Engineer

What are some things you learned at the company?

Since joining EquityZen, I've learned to have more of an analytical mindset when making decisions and proposing solutions. Coming from a client-facing background at a large company, tools like SQL were things I never touched or knew about. At EquityZen, we're empowered and encouraged to look at that data to make quantitative decisions.

Roy

Senior Investment Associate

What kinds of technical challenges do you and your team face?

Our team wakes up everyday and faces new challenges in a complex and ever-shifting FinTech space. We’re focused on building features that support our growing user-base, internal tooling to empower our co-workers, and attacking our technical debt head-on. We’re very proud to build performant and maintainable software that helps us scale.

Ish

Senior Back End Engineer

What are EquityZen Perks + Benefits

EquityZen Benefits Overview

Although the COVID-19 pandemic has put most of our office perks on hold, our vision and resilience of our team remain the most important perks of working at EquityZen.

Culture
Friends outside of work
Eat lunch together
Intracompany committees
Daily sync
Open door policy
Team owned deliverables
Team based strategic planning
Group brainstorming sessions
Pair programming
Open office floor plan
Diversity
Highly diverse management team
Health Insurance & Wellness Benefits
Flexible Spending Account (FSA)
Disability Insurance
Dental Benefits
Vision Benefits
Health Insurance Benefits
Life Insurance
Pet Insurance
Wellness Programs
Mental Health Benefits
Retirement & Stock Options Benefits
401(K)
Company Equity
Performance Bonus
Match charitable contributions
Our Founders generously matched donations in 2020 to support our belief in the fight against racial and social injustice.
Child Care & Parental Leave Benefits
Generous Parental Leave
Flexible Work Schedule
Remote Work Program
In these COVID times, we support each employees' individual needs.
Return-to-work program post parental leave
Vacation & Time Off Benefits
Unlimited Vacation Policy
Paid Holidays
Paid Sick Days
Perks & Discounts
Casual Dress
Commuter Benefits
Some Meals Provided
EquityZen brings in a catered lunch every Friday. Cinco de Mayo? Bring on the tacos!
Happy Hours
Professional Development Benefits
Job Training & Conferences
Diversity Program
Cross functional training encouraged
Promote from within
Continuing Education stipend
Online course subscriptions available
Paid industry certifications
EquityZen ensures that everyone has the licenses and certifications they need to do their job.
More Jobs at EquityZen10 open jobs
All Jobs
Finance
Dev + Engineer
HR + Recruiting
Legal
Marketing
Sales
Sales
new
New York
HR + Recruiting
new
New York
Developer
new
New York
Marketing
new
New York
Finance
new
New York
Developer
new
New York
Developer
new
New York
Apply now
By clicking continue you agree to Built In’s Privacy Policy and Terms of Use.
Save jobView EquityZen's full profileSee more EquityZen jobs