RIA Compliance SME - FinTech - NY

Job Title: RIA Compliance SME - FinTech - NY
Contract Type: Contract
Location: New York City
Contact Name: Robynne McPadden
Contact Email:
Job Published: June 06, 2020 19:57

Job Description

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
This is an excellent opportunity to become an integral part of the growth of this firm, so don't hesitate to reach out to Robynne McPadden at Twenty Group for more info.

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