Compliance Manager (Brokerage & Robo Advisory)

About RevolutPeople deserve more from their money. More visibility, more control, and more freedom. Since 2015, Revolut has been on a mission to deliver just that. Our powerhouse of products — including spending, saving, investing, exchanging, travelling, and more — help our 45+ million customers get more from their money every day.As we continue our lightning-fast growth, 2 things are essential to our success: our people and our culture. In recognition of our outstanding employee experience, we've been certified as a Great Place to Work™. So far, we have 10,000+ people working around the world, from our offices and remotely, to help us achieve our mission. And we're looking for more brilliant people. People who love building great products, redefining success, and turning the complexity of a chaotic world into the simplicity of a beautiful solution.About The RoleCompliance is a key team that ensures Revolut’s products and processes meet the regulatory requirements and translate this into the best customer outcomes. They’ve got an outstanding ability to find solutions and carry out testing in a purely digital environment. Those data-driven experts know that better people and machines are the most effective way of managing conduct risk 🎯We’re looking for a Compliance Manager for Brokerage & Robo Advisor who can see what’s needed to keep our consumer protection practise in compliance. Someone who has a burning desire to make it the best. If being on the ground floor of establishing a compliance department and working on cutting-edge product offerings seems interesting to you, keep reading ✨We're looking for generalists for broker dealers and investment advisors with an understanding of both businesses and supervisory experience. Be warned, this is a very hands-on role 🤾♂️Up for the challenge? Let’s get in touch 👇What You’ll Be Doing• Approving or rejecting, investigating new clients at onboarding and review provided information stemming from escalations• Monitoring self-directed trades and whether transactions are in conformance with regulatory requirements, as well as firm and industry standards• Assisting with regulatory exams and requests; assists with the Written Supervisory Procedures, Business continuity Plans, etc.• Supervising functions process not limited to the following: customer transactions and escalations on blotters, customer onboarding and offboarding; address changes, marketing, email review, social media review. Employee compliance (Outside Business Activities, Private Securities, Outside Brokerage Accounts, complaints)• Reviewing of brokerage new account applications and investment advisor applications• Partnering with the Operations, Technology, and Product• Ensuring supervision programme for both the broker dealer and investment advisor• Conducting business practise reviews to identify trends and/or irregular trading activity/AML issues, etc.What You'll Need• FinTech experience, self directed trading and Robo advisor experience preferred• 5+ years relevant supervisory experience in BD and Investment Advisor compliance including marketing, trading, complaints, surveillance and AML• Excellent Technology Skills- SQL a plus• Detailed knowledge of FINRA and SEC rules• Series 7, 24, and 63 or 66 registrations required• Ability to work independently, multi-task, manage projects and time effectively• Excellent understanding of supervisory requirements for brokerage businessBuilding a global financial super app isn’t enough. Our Revoluters are a priority, and that’s why in 2021 we launched our inaugural D&I Framework, designed to help us thrive and grow everyday. We're not just doing this because it's the right thing to do. We’re doing it because we know that seeking out diverse talent and creating an inclusive workplace is the way to create exceptional, innovative products and services for our customers. That’s why we encourage applications from people with diverse backgrounds and experiences to join this multicultural, hard-working team.Refer to our Data Privacy Statement for Candidates for details on our data handling practices during your application.