Top Tech Jobs & Startup Jobs

Manages IT risk and compliance programs, including SOX compliance, information security audits, risk assessments, application access reviews, internal controls, IT policies, regulatory monitoring, and audit activities. Oversees risk mitigation, privacy compliance, business continuity, disaster recovery, incident response planning, and governance framework implementation. Provides guidance to staff, evaluates compliance technologies, and supports continuous improvement initiatives.

Lead the design, implementation, and management of integrations across proprietary platforms, custody systems, trading venues, blockchain services, compliance tools, and other third-party providers. Own data normalization, reconciliation, ledger synchronization, workflow automation, reporting, and client account infrastructure. Provide technical support during onboarding, troubleshoot integration issues, coordinate vendors, translate business requirements into technical solutions, and collaborate with technology, operations, risk, compliance, and client service teams.

Oversee brokerage compliance and risk obligations, including WSP updates, regulatory filings, AML monitoring, supervisory reporting, compliance training, regulatory surveillance, investigations, documentation, and annual compliance calendars. Partner with the CCO and departments on audits, regulatory requests, and corrective actions while advising employees on compliance requirements. The role requires extensive broker-dealer experience, FINRA and SEC knowledge, securities licenses, financial product expertise, and familiarity with compliance technology.

Drive new client acquisition by outbound and inbound sales calls, educate prospects on self-directed IRA products and IRS rules, meet monthly sales goals, cross-sell accounts and products, manage escalations, document activity in Salesforce, and coordinate onboarding to ensure accounts are opened and funded.

Support clients and investment sponsors with onboarding and servicing self-directed investments (private equity, hedge funds, real estate). Manage team inboxes, client queues, chats, follow-up calls, process onboarding forms and overflow transactions, maintain CRM records, clean up client data reports, and assist on special projects.

Reconcile client fees, research disputes, post payments, make collection calls, process payments and waivers, assist billing and daily balancing, maintain invoice records, and respond to fee-related inquiries across the organization.