Senior Compliance Associate / Compliance Manager

Level of final position title and final salary are dependent on experience and FINRA licenses held.

NOTE - THIS IS AN IN-OFFICE ROLE IN IRVINE, CALIFORNIA

Tickrs Clearing is a technologically driven, forward-thinking financial services company that strives to provide the best platforms and products for investors in the US and worldwide. Our management team has an average of over 20 years' experience in the securities industry, and each member is highly respected for their knowledge about broker-dealer operations, securities, clearing and investing. Our staff believes in securing the trust of our clients by delivering a high-quality financial experience and the highest level of client satisfaction possible. We are looking for enthusiastic and driven people who want to be a part of our growth and success!

DUTIES AND RESPONSIBILITIES

The following duties are typical for this job position. Incumbents may be required to perform additional or different duties from those set forth below to address business needs and changing business practices.

• Support the overall compliance and AML efforts of the Compliance department
• Assist the Chief Compliance Officer in the development, maintenance and management of the Firm's compliance program pursuant to FINRA and SEC rules and regulations
• Assist the Chief Compliance Officer with various projects including researching and responding to regulatory, internal and external inquiries
• Assist the trade surveillance team with post-trade analysis, review and escalation as necessary
• Assist with client onboarding processing; understanding of securities laws related to records retention a plus
• Participate in annual certifications as well as the development and delivery of the annual compliance meeting
• Research and interpret current FINRA regulations and monitor for changes in regulatory rules
• Assist with Firm wide department review, employee trading review, CAT reporting, AML and other due diligence as needed

QUALIFICATIONS

• Three (3) to five (5) years' experience as a compliance professional supporting the compliance function at a FINRA member firm
• Experience with regulatory entities such as FINRA and SEC
• Highly proficient with Microsoft Word, Excel and Outlook and generally skilled with learning and administering technological applications
• Excellent communication skills and ability to collaborate with teams and departments company-wide
• Independent self-starter with a positive, can-do attitude; ability to engage proactively in meetings
• Ability to possess and apply critical thinking skills, especially when dealing with ambiguous situations
• Demonstrated leadership skills
• Highly organized and strong attention to detail
• Project development/management experience a plus
• A clean FINRA U4 and background is required for this position License or Certification Requirements
• FINRA Series 7 required
• FINRA Series 24 required (or obtained within 6 months)

PHYSICAL DEMANDS AND WORKING ENVIRONMENT

The conditions listed are representative of those that must be met by an employee to successfully perform this job. Reasonable accommodations may be made to enable individuals with disabilities to perform the job functions.

Environment:

Work is performed primarily in a standard office setting.

Physical:

Job functions require sufficient physical ability/mobility to work in an office setting; to stand or sit for extended periods of time; to occasionally stoop, bend, kneel, crouch, reach and twist; to lift, carry, push and/or pull light amounts of weight; and to operate office equipment requiring repetitive hand movement including using a computer keyboard.

Vision:

Incumbent must be able to see in the normal visual range with or without correction.

Hearing:

Incumbent must be able to hear in the normal audio range with or without correction. Job is full-time. Salary is competitive based on experience, and health, dental, vision and life insurance benefits are included, as is a 401k plan. All employment at Tickrs Clearing ("the Company") is "at-will." This means that during the course of employment with the Company, employees are free to terminate their employment with the Company at any time, with or without a reason, and the Company has the right to terminate employees at any time, with or without a reason. Although the Company may choose to terminate an employee for cause, cause is not required. Further information regarding this at-will agreement will be found in each employee's individual Employment Agreement.

Pay:

$7,000.00 - $9,000.00 per month

Benefits:

401(k) 401(k) matching Dental insurance Health insurance Life insurance Paid time off Vision insurance

Experience:

Regulatory Compliance:

3 years (Preferred)

License/Certification:

Series 7 (Required) Series 24 (Preferred) Ability to

Commute:

Irvine, CA 92618 (Required)

Work Location:

In person