Compliance Manager (Brokerage & Robo Advisory)



United States · Remote
Posted on Wednesday, June 26, 2024

About Revolut

People deserve more from their money. More visibility, more control, more freedom. And since 2015, Revolut has been on a mission to deliver just that. With an arsenal of awesome products that span spending, saving, travel, transfers, investing, exchanging and more, we've helped 45+ million customers get more from their money. And we're not done yet.

As we continue our lightning-fast growth,‌ two things are essential to continuing our success: our people and our culture. We've been officially certified as a Great Place to Work™ in recognition of our outstanding employee experience! So far, we have 10,000+ people working around the world, from our great offices or remotely, on our mission. And we're looking for more. We want brilliant people that love building great products, love redefining success, and love turning the complexity of a chaotic world into the simplicity of a beautiful solution.

About the role

Compliance is a key team that ensures Revolut’s products and processes meet the regulatory requirements and translate this into the best customer outcomes. They’ve got an outstanding ability to find solutions and carry out testing in a purely digital environment. Those data-driven experts know that better people and machines are the most effective way of managing conduct risk 🎯

We’re looking for a Compliance Manager for Brokerage & Robo Advisor who can see what’s needed to keep our consumer protection practise in compliance. Someone who has a burning desire to make it the best. If being on the ground floor of establishing a compliance department and working on cutting-edge product offerings seems interesting to you, keep reading ✨

We're looking for generalists for broker dealers and investment advisors with an understanding of both businesses and supervisory experience. Be warned, this is a very hands-on role 🤾‍♂️

Up for the challenge? Let’s get in touch 👇

What you’ll be doing

  • Approving or rejecting, investigating new clients at onboarding and review provided information stemming from escalations
  • Monitoring self-directed trades and whether transactions are in conformance with regulatory requirements, as well as firm and industry standards
  • Assisting with regulatory exams and requests; assists with the Written Supervisory Procedures, Business continuity Plans, etc.
  • Supervising functions process not limited to the following: customer transactions and escalations on blotters, customer onboarding and offboarding; address changes, marketing, email review, social media review. Employee compliance (Outside Business Activities, Private Securities, Outside Brokerage Accounts, complaints)
  • Reviewing of brokerage new account applications and investment advisor applications
  • Partnering with the Operations, Technology, and Product
  • Ensuring supervision programme for both the broker dealer and investment advisor
  • Conducting business practise reviews to identify trends and/or irregular trading activity/AML issues, etc.

What you'll need

  • FinTech experience, self directed trading and Robo advisor experience preferred
  • 5+ years relevant supervisory experience in BD and Investment Advisor compliance including marketing, trading, complaints, surveillance and AML
  • Excellent Technology Skills- SQL a plus
  • Detailed knowledge of FINRA and SEC rules
  • Series 7, 24, and 63 or 66 registrations required
  • Ability to work independently, multi-task, manage projects and time effectively
  • Excellent understanding of supervisory requirements for brokerage business

Compensation range

  • New York: $113,050 - $180,000 gross annually*
  • US: $113,050 - $180,000 gross annually*
  • Other locations: Compensation will be discussed during the interview process

*Final compensation will be determined based on the candidate's qualifications, skills, and previous experience

Building a global financial super app isn’t enough. Our Revoluters are a priority, and that’s why in 2021 we launched our inaugural D&I Framework, designed to help us thrive and grow everyday. We're not just doing this because it's the right thing to do. We’re doing it because we know that seeking out diverse talent and creating an inclusive workplace is the way to create exceptional, innovative products and services for our customers. That’s why we encourage applications from people with diverse backgrounds and experiences to join this multicultural, hard-working team.

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