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Role & Compliance Focus:
- Provide hands-on support to the Compliance function, reporting to the CCO.
- Review marketing and advertising materials under FINRA 2210 and SEC 206(4)-1.
- Assist with employee personal trading, OBA, and gifts and entertainment reviews.
Qualifications & Background:
- Must hold active SIE, Series 7, and Series 24 licenses.
- 4-7 years of experience, preferably in fintech or wealthtech.
- Proficient in brokerage platforms and Microsoft Office suite.
Growth & Culture:
- Join a fast-growing, team-oriented environment with 50% quarterly growth.
- Remote-first role with occasional travel to San Francisco for team events.
- Work at the intersection of operational compliance and regulatory integrity.
Frec
Frec builds tax-aware investment tools to help investors hold onto more of what they earn. They have grown 50% QoQ with over $1B in customer assets, backed by Greylock Partners and other investors.