Compliance Consultant

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October 24

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Atomic Invest

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Finance • Fintech • SaaS

Atomic Invest is a technology company that offers an integrated platform designed for fintechs and financial institutions to provide savings and investment products. They enable advanced wealth and cash management services with offerings that include FDIC-insured cash sweeps, money market funds, and treasury bills. Atomic Invest provides brokerage services with turnkey experiences and APIs that simplify the launch process for financial services. Their solutions cater to financial institutions, wealth managers, consumer platforms, and broker-dealers, enhancing financial service offerings and client satisfaction. As an SEC-licensed investment adviser and FINRA-registered broker-dealer, Atomic Invest ensures compliance and security standards, operating under the umbrella of AtomicVest Inc. Their services are not bank-guaranteed and carry the typical risks associated with investing.

11 - 50 employees

Founded 2020

💸 Finance

💳 Fintech

☁️ SaaS

📋 Description

• Conduct and document marketing and advertising reviews for the firm’s broker-dealer, RIA, and activities of our business partners. • Interact with business partners of the firm and provide regulatory guidance and training relating to their website, UI, App, and other marketing materials • Assist with leveraging technology to enhance the automation of compliance • Maintain and enhance compliance policies and procedures to align with evolving regulations and firm practices • Develop proper internal control procedures relating to marketing reviews, business partner compliance, and other areas. • Assist with the development and delivery of compliance training programs for employees • Assist with regulatory filings, audits, and examinations as needed • Analyze and research customer complaints, draft correspondence to regulators and customers, and assist with related filings • Conduct and support risk assessments to identify and mitigate potential compliance, operational, financial, and regulatory risks • Manage and oversee third-party due diligence processes for vendors and business partners • Oversee individual and firm registrations with FINRA and the SEC • Assist with obligations as it pertains to "Access Persons" for the RIA and "Registered Representatives and NRFs" for the broker-dealer • Collaborate with business, legal, and operations teams to maintain consistent compliance practices across all departments.

🎯 Requirements

• FINRA Series 7 & 24 required • 3-5 years financial services experience with a Broker Dealer and/or SEC registered investment advisor • 2+ years experience reviewing marketing and advertising materials; strong understanding of FINRA Rules 2210 and 2211, the SEC Marketing Rule, and interacting with FINRA’s Advertising Regulation Department • Experience drafting policies and procedures • Technical aptitude and experience working with IT or Engineering department (in terms of Compliance collaboration) is important • Knowledgeable of financial markets and investing • Experience with systems such as Red Oak and Global Relay is a plus • College degree preferred • Knowledge of trading desk and back office mechanics

🏖️ Benefits

• Equal opportunity employer that values the benefits of diversity • Prohibits discrimination and harassment