VP of Compliance

New York, NY

Liquidly is a fast-growing fintech startup building a cutting-edge platform for private equity managers and investors. We are looking for a VP of Compliance to lead compliance programs for and be part of a small, yet dynamic, team with room for ample growth and leadership. This is an opportunity to join our organization at the early stages of company-building and we are looking for highly motivated colleagues actively chasing intellectual challenges.

Role Specifications

Open to candidates seeking a permanent part-time (10-15 hours/weeks), remote (but near NY Metro), or other flexible work arrangements.

Qualifications

  • 3+ years professional experience and leadership in regulatory compliance work, preferably for a broker-dealer
  • Strong working knowledge of federal and state regulatory guidelines and standards (including FINRA and SEC rules/regulations; AML), industry protocols, and best practices for broker-dealers
  • Ability to develop, implement and manage effective internal compliance policies and standards
  • Attention to detail, excellent communication skills, self-starter
  • Professional certifications: FINRA Series 7 and 24, or willingness to take these exams if necessary

Company culture

  • Offering flexible working hours, competitive compensation, and benefits
  • Bandwidth for leadership and new ideas
  • Cross-domain expertise: be an integral part of the product development team

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
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