Exciting FINTECH registered BD and RIA firm with strong ties to Asia markets is looking for an entrepreneurial compliance professional with 3/5 years of experience looking for a step up in their career.
The firm has around 10 offices in Asia with headquarters in Beijing, with a total headcount of around 100 employees. They have three offices in the US - NYC is the headquarter in the US
Couple key requirements:
- He/she will be the CCO of a registered broker dealer and RIA
- Direct broker dealer experience is a must
- Familiarity with securities act, securities exchange act and advisors act
- Strong ability to learn and grow in a fast-paced fintech startup environment
- Securities transaction will be focused on private placement of private investment vehicles. Therefore knowledge around Reg D, Reg S offering is a plus.
- Bilingual in Mandarin is a plus but not a requirement
- Series 7 and 63 are required prior to joining the firm. S24 is within 3 months of joining the firm. The individual will need to get S24 within 3 months of commencement.
Competitive base + ~20% bonus + potential equity on offer for the right candidate.
Exceptional career opportunity.