Brex is revolutionizing financial services for businesses, starting with corporate cards for startups. We are building the product from first principles, enabling us to have unparalleled features and a seamless, modern experience for our customers. With backing from top venture firms and industry veterans such as Peter Thiel and Max Levchin, Brex is one of the fastest-growing startups to date, and we’re looking for someone to help scale the company with incredible people across the board.

Based in San Francisco, our team is committed to creating a driven and diverse company with ambitious people from wide-ranging backgrounds. We are looking for people with a strong sense for exceptional products, a keen eye to detail, and comfort learning new technologies. Most importantly, we’re looking for people who are enthusiastic about working with a variety of backgrounds, roles, and needs.

The Legal and Compliance team makes critical decisions that impact both product development and company direction. Judgment, competence, empathy, ability to collaborate within and across functions, and a good sense of humor are essential to success on our team. Working in a fast-growing FinTech startup also demands that we are problem solvers and comfortable operating in a rapidly-changing environment. As the Senior Compliance Officer for Brex Cash you will manage the broker/dealer’s compliance infrastructure in New York City, providing guidance and oversight. The office will be an Office of Supervisory Jurisdiction, and you will responsible for its adherence to overall compliance program. while assisting Brex Treasury’s CCO in keeping the firm in compliance.

What you'll be doing:

• Develop, implement, and maintain the broker-dealer’s compliance program, including policies, procedures, systems monitoring, technology and training.
• Manage a staff of experienced compliance personnel and work closely with Brex’s Chief Compliance Officer and Legal Department.
• Provide appropriate support, advice and training to relevant front-office and operational personnel with respect to FINRA and SEC rules and regulations, information barriers, licensing requirements, supervision, and other compliance-related issues.
• Manage internal and external regulatory examinations, audits, inquiries, and similar reviews in relation to the broker-dealer’s business activities.
• Ability to identify current and emerging regulatory risks, implement risk mitigation plans, and provide reports to the Global CCO and senior management.
• Work with the CCO and internal and external legal counsel to adapt to regulatory developments or address the compliance implications of new business products and services.
• Review, interpret, and assess regulatory impact related to proposed SEC and SRO rules and regulations.
• Develop and execute appropriate testing programs to verify compliance with relevant rules.
• Investigate, develop, and implement appropriate action plans in response to regulatory, testing, or audit findings.
• Review and approve marketing materials and other public communications.

What we're looking for in you:

• 8+ years’ compliance experience in a compliance department of a registered broker-dealer
• Extensive knowledge of the Securities Act of 1933, and SEC and FINRA rules
• Excellent written and verbal communication skills and interpersonal skills to work effectively with internal and external stakeholders
• Detail-oriented\, accurate, organized and able to set priorities
• Ability to multi-task and adapt to shifting priorities
• Series 63, 7, 24 (required)