About Atomic Vest:

• A fast-growing, mission-driven company expanding financial services and wealth creation globally.
• Builds critical financial infrastructure enabling consumer-facing companies to offer engaging investing experiences.
• Offers advanced investing capabilities including ESG investing and multi-currency trading across 60 global markets.
• Team comprises professionals from tech, banking, finance, and law.
• Recently closed Series B funding and positioned for rapid scaling.

The Role:

• Seeking a highly skilled compliance professional to support broker-dealer and registered investment adviser (RIA) operations.
• Significant role in developing the compliance department, conducting marketing reviews, and operationalizing compliance across the firm and business partners.
• Reports to Chief Compliance Officer; collaborates with Partnerships, Product, Brokerage Operations, and IT teams.
• Requires eagerness to learn, growth mindset, and positive attitude.

Key Responsibilities:

• Conduct and document marketing and advertising reviews for broker-dealer, RIA, and business partners.
• Provide regulatory guidance and training related to websites, UI, apps, and marketing materials.
• Enhance compliance automation through technology.
• Maintain and update compliance policies and procedures.
• Develop internal control procedures for marketing reviews and business partner compliance.
• Deliver compliance training programs for employees.
• Assist with regulatory filings, audits, examinations.
• Analyze customer complaints; draft correspondence to regulators/customers; assist with filings.
• Conduct risk assessments to mitigate compliance, operational, financial, regulatory risks.
• Manage third-party due diligence for vendors/business partners.
• Oversee registrations with FINRA and SEC.
• Assist with obligations related to "Access Persons" (RIA) and "Registered Representatives/NRFs" (broker-dealer).
• Collaborate across business, legal, operations teams for consistent compliance practices.
• Provide legal/regulatory support on broker-dealer/RIA licensing including registration requirements, filings, licensing implications.

Qualifications:

• FINRA Series 7 & 24 required.
• Experience in financial services with Broker Dealer or SEC registered investment advisor.
• Experience in regulatory licensing/support in broker-dealer or RIA environment.
• Experience reviewing marketing/advertising materials; knowledge of FINRA Rules 2210/2211 and SEC Marketing Rule; interaction with FINRA Advertising Regulation Department.
• Experience drafting policies/procedures.
• Technical aptitude; experience working with IT/Engineering on Compliance collaboration important.
• Knowledge of financial markets/investing.
• Experience with Red Oak and Global Relay systems is a plus.
• College degree preferred.
• Knowledge of trading desk/back office mechanics.

Atomic is an equal opportunity employer that values diversity.