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Chief Compliance Officer



New York, NY, USA
Posted on Saturday, November 4, 2023

About Us:

Public is an investing platform that allows people to invest in stocks, ETFs, treasuries, crypto, art, collectibles, and more – all in one place.

Public’s platform helps people be better investors with access to custom company metrics, live shows about the markets, and real-time analysis. Members control how they invest with a suite of powerful tools, and get insights from a community of millions of investors, creators, and analysts.

Since 2019, Public has raised over $300 million. Investors include Accel, Tiger Global, Will Smith's Dreamers VC, The Chainsmokers' Mantis VC, and Shari Redstone's Advancit Capital, as well as renowned figures in business and culture, like Sean ‘Diddy’ Combs, Maria Sharapova, Tony Hawk, and NYU Stern professor Scott Galloway.

What You’ll Do:

  • Serve as the Chief Compliance Officer and Anti-Money Laundering Officer of the Broker-Dealer, reporting to the Chief Administrative Officer of Public Holdings
  • Independently manage FINRA relationship, including all examinations and regulatory requests
  • Partner with the CAO, GC, COO, and others to identify key risks and mitigating actions
  • Support business teams (e.g., product, marketing, operations) with input on regulatory compliance considerations and implications of their work.
  • Participate in the Best Execution and Order Routing Committee
  • Maintain the Written Supervisory Procedures and Compliance Manual (WSP)
  • Oversee the creation of desk / internal control procedures for Compliance and other departments
  • Leverage technology and third-party solutions to streamline compliance processes; evaluate existing providers to identify alternatives as needed
  • Monitor regulatory updates and implement such changes, when applicable, into the WSP and internal control procedures
  • Conduct the Annual Supervisory Review and Testing, and corresponding CEO certification under FINRA Rules 3120 and 3130.
  • Ensure the annual, quarterly, and ad hoc FINRA reporting, and submission requirements are met for the broker dealer
  • Conduct and/or oversee periodic surveillance reviews for the following areas, among others: trading surveillance, trade reporting, review and approval of marketing / advertising / social media materials, and review / approval of activities involving FINRA licensed and NRF personnel
  • Partner with other departments to manage the retention of regulatory books and records pursuant to regulatory and business requirements
  • Oversee completion of training, as required (e.g., Annual Compliance Meeting, Firm Element, Regulatory Element, etc.)

Who you are:

  • Talented problem solver and risk manager, capable of understanding and internalizing business priorities and risk calibration.
  • Ability to continually learn new skills, embracing change in the securities industry, and working for a rapidly growing FinTech firm
  • Experience directly interacting and building relationships with regulators
  • 7+ years of relevant compliance experience working for a FINRA regulated firm.
  • Licenses required: Series 7 and 24.
  • Extensive knowledge of FINRA and SEC rules and applicability of the rules to employee and firm activities
  • Knowledge and in-depth familiarity with trading, market making, customer suitability and/or related areas is important
  • Experience with the FINRA Form BD, Form BR, FINRA Contact System, and related filings
  • Experience monitoring and evaluating employee activities - e.g., outside account monitoring, OBAs, PSTs, electronic communications retention and surveillance, new hire onboarding, off-boarding, and other requirements to which a broker-dealer is subject

Bonus Points:

  • Series 66, 4, and/or 27.
  • Experience working for FINRA or another securities regulator in addition to working at a broker-dealer
  • Experience working with UK regulatory or compliance regimes
  • Knowledge and experience working with the SEC Registered Investment Advisor rules and regulations

Public is an equal employment opportunity employer to all employees and applicants for employment and prohibits discrimination and harassment of any type. We celebrate people of all race, color, religion, age, sex, national origin, disability status, genetics, veteran status, sexual orientation, gender identity, or expression.

The pay range for this position in NYC is $160,000 - $180,000/year; however, base pay offered may vary depending on job-related knowledge, skills, and experience. Base pay information is based on market location.