Compliance Associate

Remote, USA

Applications have closed
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Posted 1 month ago

What we do

Our mission is to reimagine financial systems so every growing company can realize their full potential. At our core, we are a tech company, disrupting long-entrenched institutions with better technology and products that serve the needs of our customers. By combining financial services and software tools, we are realizing a vision to be the financial operating system for growing businesses.

What to expect

Working at Brex allows you to push your limits, challenge the status quo and collaborate with some of the brightest minds in the industry. Our team comes from a wide range of backgrounds, both from large institutions and small startups. We value combining these diverse viewpoints to solve hard challenges!

Why work here

We are committed to building a diverse team and inclusive culture and believe your potential should only be limited by how big you can dream. At Brex, we make this a reality by empowering employees with the tools, resources and support to grow their careers. It takes the same effort to dream big or dream small, so we say, dream big.

Legal and Compliance at Brex

The Legal and Compliance team helps the company grow responsibility, advocating for Brex and for the thousands of growing businesses we serve. We provide strategic advice and guidance to all Brex teams, protect Brex, advise on risk, and represent the company externally, negotiating with partners and interacting with regulators. Reimagining the financial system in a highly regulated environment requires creativity and resourcefulness, and we welcome the challenge.

How you’ll make an impact

You will be supporting the function of Brex Treasury LLC (“Brex or “The Firm”) and responsible for a number of areas within cash compliance. Brex Treasury LLC (“Brex” or “The Firm”) is an SEC and FINRA registered Broker-Dealer with offices in New York City, San Francisco, and Salt Lake City.  The Firm offers cash management accounts to startups and other small businesses with no fees (including wires and ACH’s).  You will report directly to the Chief Compliance Officer (“CCO”) of Brex Treasury LLC.  

What we require

  • Active Series 7 and Series 24 licenses
  • Strong interpersonal skills and comfortable providing compliance support for other internal departments. You are partnering with Customer Experience, Cash Operations, Onboarding, Legal, and Compliance
  • Experience with reviewing, reporting, and analysis. You are expected to perform these practices on customer complaints under FINRA Rule 4530 and electronic communications for Brex Treasury
  • Strong attention to detail. You will be monitoring registered employees and FINRA’s Firm Gateway system to ensure the necessary information is up to date (Firm registrations, private securities transactions, outside brokerage/business activities, etc.)
  • Excellent written and verbal communication skills.  You will be assisting with Principal Reviews of prospective client applications and providing updates on Firm’s written and supervisory procedures

Bonus points

  • The ability to work in a fast-paced environment and address difficult situations in a professional manner
  • Progressive experience in Broker-Dealer Compliance at a FinTech company
  • Experience designing and evaluating compliance metrics 
  • Experience being innovative and providing “outside of the box” solutions
  • Passion for having an owner’s mentality towards responsibilities
Job tags: Compliance Financial services Fintech SEC Treasury