Compliance Officer: Advisory and Brokerage

About dub Founded in 2021 in NYC, dub is building the first social investing marketplace by providing a simple way to share, reward, and invest alongside the best portfolios and minds in asset management. dub's innovative copy-trading platform allows asset managers, financial experts, and everyday investors to make their investment strategies accessible to a global audience. Backing We've raised funding from visionaries who support our mission. Our institutional investors include Tusk Ventures Partners and Slow Venture, and our angels consist of partners from Sequoia and A16Z as well as the current or former CEOs and founders of Uber, Airbnb, Robinhood, Morgan Stanley Smith Barney, and TIAA. About the Role This role is essential to dub's mission to transform our platform from a standout investing app into a billion-user fintech platform. You'll work closely with dub's CCO and senior leadership to ensure compliance, broker-dealer administration, and advisory oversight within a regulatory framework. You'll play a key role in managing regulatory and operational tasks related to both broker-dealer and advisory operations, due diligence for investment advisors and creators, and internal compliance processes. This role is a blend of compliance and advisory functions, ideal for a candidate with a background in both broker-dealer operations and the Advisors Act. You'll bring expertise in regulatory standards, disclosures, and policy implementation, and help shape a unique investing experience for customers. You're focused, results-driven, and skilled at guiding teams toward ambitious goals with both soft and firm influence. Location: Downtown, NYC Office (minimum 3 days a week) Compensation: Competitive market comp ($60k - 150k, based on experience) plus generous equity in dub. Responsibilities Broker-Dealer Administration: Support the CCO in managing the administration of the broker-dealer program, AML and CIP requirements, and overseeing registration of personnel. Advisory Compliance: Lead advisory-related compliance efforts, including: Developing and executing 206(4)-7 testing programs. Conducting due diligence on prospective investment advisors and platform creators. Managing disclosure and regulatory filing requirements, including Forms ADV Part 1 and 2A. Reviewing marketing and communication materials to ensure regulatory compliance. Supervising personnel in line with the firm's Code of Ethics. Policies and Procedures: Maintain and update policies and procedures, ensuring adherence to SEC and FINRA requirements, the Advisors Act, and firm-specific compliance standards. Client Service Support: Address client requests and assist with onboarding and ongoing account servicing. Operational Compliance: Coordinate with the CCO to build and manage internal compliance dashboards for account servicing, books and records, and corporate actions. Marketing and Communication Compliance: Review marketing materials and communications for compliance with regulatory standards. Audits and Regulatory Inquiries: Prepare for audits, exams, and inquiries, supporting document and data retrieval. Special Projects: Handle ad hoc projects and requests as needed to support the compliance team. Qualifications Required: 3+ years of broker-dealer compliance experience, ideally with advisory compliance exposure. Deep understanding of FINRA, SEC, and other relevant regulations, including the Advisors Act. Strong knowledge of FINRA Rules, the Advisors Act, and SEC disclosure requirements. Proficiency in Microsoft Office Suite (Word, Excel, PowerPoint). Bachelor's Degree (or equivalent relevant experience). Preferred: Experience with 206(4)-7 testing programs, ADV filing requirements, and managing advisory compliance. Demonstrated ownership and accountability with strong problem-solving skills. Exceptional organizational skills with high attention to detail. Ability to thrive in a fast-paced, dynamic environment with excellent communication and client-service skills. Solutions-oriented, with the ability to adapt to ambiguity in a startup setting. Proven ability to handle confidential information with integrity. Collaborative team player who supports and fosters team cohesion. Series 7, 24, and 63 licenses preferred but not required.

Created: 2024-11-12