Senior Compliance and Risk Specialist

## What you’ll do day-to-day: 📍Conduct onboarding due diligence reviews of prospective RIA firms and existing firms on an ongoing basis 📍Principal Review (approve) communications with the public ("CwP") materials to ensure it meets regulatory and internal standardsReview flagged email communications 📍Experience with RIA compliance procedures and documentation 📍Assist with annual Written Supervisory Procedures (WSP) testing 📍Support AML processes including Customer Identification Program (CIP), Know Your Customer (KYC), and money movement monitoring 📍Perform additional duties as requested by the CCO 📍Knowledge of FINRA, SEC, and AML regulationsPartner closely with various business units within TradePMR and Robinhood 📍Review, analyze, and advise stakeholders on the adherence of compliance and internal guidelines 📍Develop and implement process improvements to increase quality and scalability 📍Establish program efficiencies and enhance processes within the team 📍Build strong relationships and align compliance strategy among different stakeholders 📍Guide internal customers on compliance for projects and deliverables ## About you: 📍Bachelor’s Degree 📍FINRA Series 7 and 24. 📍5+ years working in compliance or a relevant function 📍Ability to effectively manage multiple priorities and adapt to a changing environment 📍Good written and verbal communication, strategic, negotiation skills and strong attention to detail 📍General financial services industry experience as a regulator or within compliance, audit, risk, marketing, or communication **The crypto industry is evolving rapidly, offering new opportunities in blockchain, web3, and remote crypto roles — don’t miss your chance to be part of it.**