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Senior Principal, Compliance

Company: Lever
Location: Palo Alto
Posted on: May 3, 2021

Job Description:

Stockpile Investments, Inc. (Stockpile) simplifies investing. As an innovative fintech firm, Stockpile enables financial prosperity for the entire population. Were a high-growth startup based in Palo Alto, bringing world-class financial experiences to a continually growing customer base.

As a part of this team, you will be at the forefront of creating an impact in protecting the Company and its customers from regulatory and compliance inconsistencies. A Stockpile Senior Principal collaborates across all business areas of the Firm such as Customer Care and Trading, to ensure compliance with all regulatory requirements and assist in implementation of new and enhanced processes. This new role is an opportunity to action compliance initiatives and promote our strong culture of compliance.

What your day to day looks like
Provide critical business projects with enhanced execution to ensure the business is compliant with industry regulatory rules and standards Create and implement new controls and surveillances to mitigate risks to the Firm by liaising across teams Ensure sustainability of solution implementation to help deliver lasting change Enhance how investigations are conducted on potential suspicious activity by using various internal and external systems and databases Propose methods of testing and assist in the execution of plans created Conduct reviews in order to draft responses to regulatory audits or inquiries Lead the crafting of detailed written requirements for program initiatives to be conveyed to programmers and technology staff Lead enhancement of policies and procedures as well as maintenance of evidence
Within 60 days, You'll
Maintain a consolidated list of issues and risks and enhance the project plan by working closely with the Compliance Supervisor Appropriately qualify all leads and take ownership of next steps for open items Build trusted partnerships with product and engineering teams
Within 180 days, You'll
Work cross-functionally with teams to thoroughly understand and align Compliance needs with solutions Assist in management and execution of projects cross functionally Assist in ensuring Brokerage is prepared with the resources, information and processes required to support new products or features such as Playbooks and documentation
Within 365 days, You'll
Own ongoing maintenance of projects and enhancements Use your experience in the Compliance and Risk space to help mentor stakeholders to drive the importance of brokerage knowledge and strengthen and promote the culture of compliance
To be Successful, You Must Have
5-7 years experience with the SEC, FINRA, an exchange, and/or a broker-dealer Industry risk and compliance certifications/registrations SIE, Series 7, 63, 24 Ability to navigate ambiguous situations with the aim of developing solutions Ability to prioritize and complete multiple projects with deadlines Ability to work effectively with leadership teams and cross-functional leadership; encourage open communication, provide feedback Comfortable being independent and a self-starter Detail-oriented and able to produce quality work product, even when working under tight timeframes Possess effective written and verbal communication skill and a demonstrated ability to lead focused meetings, develop agendas with supporting data and analytics Ability to scope problems, identify appropriate data needed for analysis and create plans to solve problems Drive key initiatives and demonstrate acumen through business results Proven ability to successfully provide relevant and immediate feedback in a fast-paced and complex environment Our Company culture allows us to build a strong collaborative workplace. A community, even when we are working from home, promotes the value of supporting one another no matter what the circumstance is - a priceless perk. Explore the opportunity with us and we'll show you.
Stockpile is an equal opportunity employer. We celebrate diversity and are committed to creating an inclusive environment for all employees.

Third Party recruiters are NOT allowed to submit unsolicited resumes to this posting or directly to any Stockpile employees. Please be aware that Stockpile is not responsible for any candidate submitted without prior agreement.

Keywords: Lever, Palo Alto , Senior Principal, Compliance, Other , Palo Alto, California

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