Compliance Manager, Finance & Banking

Location: New York

Compliance Manager - Fin Tech Investment Banking

Position:
Financial Technology Partners is seeking a Compliance Manager.

Company

Description:

Financial Technology Partners (aka "FT Partners") is the only investment banking firm focused exclusively on the financial technology sector. We broadly define the sector as the dynamic convergence of technology-based solutions and financial services. FT Partners was recently recognized as "Dealmaker of the Year" and "Investment Banking Firm of the Year" by The M&A Advisor.

The firm was founded by Steve McLaughlin, Managing Partner, formerly a senior investment banker in Goldman Sachs & Co.'s Financial Technology Group and Financial Institutions Group in New York and San Francisco. The firm's Founder and senior bankers are all highly experienced investment bankers formerly with the financial technology, M&A and investment banking groups of Goldman Sachs & Co in New York, San Francisco, London and Los Angeles.

Role Description

The Compliance Manager will be responsible for oversight and execution of FINRA, SEC, FCA, and related regulatory compliance. A candidate should have a solid working knowledge of the FINRA and SEC regulatory frameworks. Additionally the employee must actively keep abreast of regulatory developments as they apply to the firm's business model and be able to advise firm management on strategic decision making.

Candidates should have experience monitoring employee and business compliance matters on a day to day level as well as designing and tailoring a compliance program to meet the firm's evolving compliance needs.

General Qualifications

• 4+ years of FINRA and SEC compliance experience preferably in Investment Banking or Private Equity
• FINRA Series 7 and Series 24 strongly preferred; or must able to obtain within a short period
• Good knowledge of FINRA regulations and applicable regulatory requirements and expectations related to investment banking and broker-dealer activities
• Working knowledge of federal and state laws and regulations applicable to investment banking including a general knowledge of SEC regulatory requirements and framework
• Ability to articulate regulatory requirements to all levels of employees, from new analysts to the head of the firm
• Experience with FINRA Gateway including U4s & U5s, Form BD, CMA, as well as handling ad hoc regulatory inquiries
• Experience writing and maintain firm policies and procedures including Written Supervisory Procedures
• Understanding and experience executing KYC/AML/CIP checks, complying with sanctions and Treasury requirements, oversight of employee personal investments and OBAs, e-comms surveillance and management, books and records requirements, regular compliance testing, and certification under FINRA 3130
• Experience with FINRA Rule 2241 regarding equity research is a major plus
• Familiarity with compliance systems and related platforms such as Docu Sign, Smarsh, Comply Sci, and Dow Jones Risk Center a plus
• Knowledge of FCA and EU regulatory requirements a plus
• Four year college degree required; JD preferred
• U.S. work authorization

Communications Skills

• Public speaking and live training experience including the ability to tailor training materials to the firm based on the regulatory landscape
• Exceptional writing and verbal communication skills, able to prepare high impact materials in multiple formats
• Participate effectively in both internal and external meetings

Team Player

• Team player who can contribute to building a positive team spirit, keeps commitments, inspires the trust of others, works with integrity and ethically, and upholds firm values
• Ability to perform under pressure amid tight deadlines; can effectively prioritize and plan
• Collaborative across teams and levels, both internally and externally

Why FT Partners?

• Managing Partner and Managing Directors formerly of Goldman Sachs and JP Morgan
• Award-winning execution;
  Investment Bank of the Year / Boutique of the Year Awards (among many others)
• Executing both billion dollar and early stage / high-growth VC transactions
• Excellent career path strong and competitive compensation
• Unparalleled deal flow with premier client base
• Access to world class executives?? Dominant footprint in the one of largest sectors: financial technology
• Top notch financial sponsor relationships?
• Close knit, rapidly growing team
• Selected transactions include advising:
• Divvy's $2.5 billion Sale to
• Green Sky's $2.2 billion Sale to Goldman Sachs
• Truebill's $1.3 billion Sale to Rocket Companies
• Currencycloud's $1 billion…