VP of Compliance

New York, NY

Position Description

Liquidly is looking for a VP of Compliance to lead Liquidly’s compliance programs. We have a strong preference for a candidate who also has experience as a Financial and Operations Principal. We are open to candidates seeking part-time (10-15 hours/weeks), remote (but near NY Metro) or other flexible work arrangements.

Qualifications

  • 6+ years professional experience in regulatory compliance work, preferably for a broker-dealer
  • Strong knowledge of federal and state regulatory guidelines and standards (including AML), industry protocols and best practices for broker-dealers
  • Ability to coordinate and execute reports, audits and examinations vis a vis regulatory and government agencies
  • Ability to develop, implement and manage effective internal compliance policies and standards
  • Attention to detail, excellent communication skills, self-starter
  • Professional certifications: Series 24 and 27 strongly preferred with willingness to take further exams as necessary

Things we offer

  • We are offering flexible working hours and competitive compensation
  • We ensure ample bandwidth for leadership and new ideas
  • Cross-domain expertise: Be an integral part of the product development team
APPLY FOR THIS JOB
*
*
*