Temp Associate Compliance Officer
Who We Are
tZERO Securities is a pioneer in the digital securities industry, committed to revolutionizing capital markets through innovative technology and robust regulatory compliance. We are seeking a diligent and proactive Associate Compliance Officer to join our dynamic team and contribute to our mission of building trusted and efficient financial ecosystems.
Position Summary - Associate Compliance Officer
The Associate Compliance Officer at tZERO Securities plays a crucial role in ensuring the company's continuous adherence to regulatory responsibilities. This individual will be responsible for various aspects of tZERO’s compliance protocols and procedures, working closely with the Chief Compliance Officer (CCO) and other internal partners. The role involves critical compliance activities, including risk assessments, monitoring, and reporting, to uphold the highest standards of governance and control.
Key Responsibilities
• Perform risk assessments, monitoring, and surveillance activities, and manage projects to ensure strict adherence to established procedures.
• Conduct ongoing validation of monitoring strategies to ensure appropriate governance and control.
• Collaborate closely with business units and internal partners to meet regulatory, corporate, and fiduciary obligations.
• Identify trends in compliance data and provide recommendations for data optimization.
• Review and manage comprehensive documentation of compliance monitoring and surveillance activities.
• Report findings to the CCO in a timely manner and diligently follow up on outstanding issues.
• Execute other duties as required and assigned by the CCO and upper management.
Qualifications
• 3-5 years of relevant experience in a compliance role, preferably within the financial services or digital securities industry.
• Active FINRA Series 7 license.
• Strong understanding of regulatory frameworks relevant to broker-dealers (e.g., SEC, FINRA rules).
• Demonstrated ability to perform detailed risk assessments and develop effective monitoring strategies.
• Excellent analytical, problem-solving, and communication skills.
• Proficiency in compliance management software and data analysis tools.
Preferred Qualifications:
• Active FINRA Series 24 license.
• Experience with blockchain technology or digital asset compliance.
• Bachelor’s degree in Finance, Business Administration, Law, or a related field.
Equal Employment Opportunity
It is our policy to provide equal employment opportunity for all applicants and associates. This policy includes our commitment to ensure that all employment decisions are made without regard to race, color, religion, gender, national origin, disability, pregnancy, veteran status (including Vietnam era veterans), age, sexual orientation, gender identity, or any other non-job-related characteristic protected by law.
Apply Now
tZERO Securities is a pioneer in the digital securities industry, committed to revolutionizing capital markets through innovative technology and robust regulatory compliance. We are seeking a diligent and proactive Associate Compliance Officer to join our dynamic team and contribute to our mission of building trusted and efficient financial ecosystems.
Position Summary - Associate Compliance Officer
The Associate Compliance Officer at tZERO Securities plays a crucial role in ensuring the company's continuous adherence to regulatory responsibilities. This individual will be responsible for various aspects of tZERO’s compliance protocols and procedures, working closely with the Chief Compliance Officer (CCO) and other internal partners. The role involves critical compliance activities, including risk assessments, monitoring, and reporting, to uphold the highest standards of governance and control.
Key Responsibilities
• Perform risk assessments, monitoring, and surveillance activities, and manage projects to ensure strict adherence to established procedures.
• Conduct ongoing validation of monitoring strategies to ensure appropriate governance and control.
• Collaborate closely with business units and internal partners to meet regulatory, corporate, and fiduciary obligations.
• Identify trends in compliance data and provide recommendations for data optimization.
• Review and manage comprehensive documentation of compliance monitoring and surveillance activities.
• Report findings to the CCO in a timely manner and diligently follow up on outstanding issues.
• Execute other duties as required and assigned by the CCO and upper management.
Qualifications
• 3-5 years of relevant experience in a compliance role, preferably within the financial services or digital securities industry.
• Active FINRA Series 7 license.
• Strong understanding of regulatory frameworks relevant to broker-dealers (e.g., SEC, FINRA rules).
• Demonstrated ability to perform detailed risk assessments and develop effective monitoring strategies.
• Excellent analytical, problem-solving, and communication skills.
• Proficiency in compliance management software and data analysis tools.
Preferred Qualifications:
• Active FINRA Series 24 license.
• Experience with blockchain technology or digital asset compliance.
• Bachelor’s degree in Finance, Business Administration, Law, or a related field.
Equal Employment Opportunity
It is our policy to provide equal employment opportunity for all applicants and associates. This policy includes our commitment to ensure that all employment decisions are made without regard to race, color, religion, gender, national origin, disability, pregnancy, veteran status (including Vietnam era veterans), age, sexual orientation, gender identity, or any other non-job-related characteristic protected by law.
Apply Now