A prominent and rapidly expanding FinTech firm based in NY are looking for a consultant to help with the design and build-out of their controls function.
This person will:
- Utilize a breadth of core compliance experience within RIA and FinTech industries to support the development of regulatory frameworks
- Demonstrate the ability to adapt to an ever-changing regulatory environment by identifying and interpreting new types of risk (eg. Advertising); contribute ideas to mitigate these newly identified risks
- Reconcile current practices and operating standards with a gap analysis report to implement regulatory changes and create fit-for-purpose policies and procedures
- Be hands-on in contributing to the development of a robust trading controls environment
- Coordinate with colleagues within broker-dealer entity to understand where RIA and BD processes can be streamlined to drive efficiency across the Legal & Compliance group