Compliance Manager

Compliance Manager – FinTech Investment Banking

Position: Financial Technology Partners is seeking a Compliance Manager.

Company Description: Financial Technology Partners (aka “FT Partners”) is the only investment banking firm focused exclusively on the financial technology sector. We broadly define the sector as the dynamic convergence of technology-based solutions and financial services. FT Partners was recently recognized as "Dealmaker of the Year" and "Investment Banking Firm of the Year" by The M&A Advisor.

The firm was founded by Steve McLaughlin, Managing Partner, formerly a senior investment banker in Goldman Sachs & Co.'s Financial Technology Group and Financial Institutions Group in New York and San Francisco. The firm's Founder and senior bankers are all highly experienced investment bankers formerly with the financial technology, M&A and investment banking groups of Goldman Sachs & Co in New York, San Francisco, London and Los Angeles.

Role Description: The Compliance Manager will be responsible for oversight and execution of FINRA, SEC, FCA, and related regulatory compliance. A candidate should have a solid working knowledge of the FINRA and SEC regulatory frameworks. Additionally the employee must actively keep abreast of regulatory developments as they apply to the firm’s business model and be able to advise firm management on strategic decision making. Candidates should have experience monitoring employee and business compliance matters on a day to day level as well as designing and tailoring a compliance program to meet the firm’s evolving compliance needs.

General Qualifications:

4+ years of FINRA and SEC compliance experience preferably in Investment Banking or Private Equity

FINRA Series 7 and Series 24 strongly preferred; or must able to obtain within a short period

Good knowledge of FINRA regulations and applicable regulatory requirements and expectations related to investment banking and broker-dealer activities

Working knowledge of federal and state laws and regulations applicable to investment banking including a general knowledge of SEC regulatory requirements and framework

Ability to articulate regulatory requirements to all levels of employees, from new analysts to the head of the firm

Experience with FINRA Gateway including U4s & U5s, Form BD, CMA, as well as handling ad hoc regulatory inquiries

Experience writing and maintain firm policies and procedures including Written Supervisory Procedures

Understanding and experience executing KYC/AML/CIP checks, complying with sanctions and Treasury requirements, oversight of employee personal investments and OBAs, e-comms surveillance and management, books and records requirements, regular compliance testing, and certification under FINRA 3130

Experience with FINRA Rule 2241 regarding equity research is a major plus

Familiarity with compliance systems and related platforms such as DocuSign, Smarsh, ComplySci, and Dow Jones Risk Center a plus

Knowledge of FCA and EU regulatory requirements a plus

Four year college degree required; JD preferred

U.S. work authorization

Communications Skills:

Public speaking and live training experience including the ability to tailor training materials to the firm based on the regulatory landscape

Exceptional writing and verbal communication skills, able to prepare high impact materials in multiple formats

Participate effectively in both internal and external meetings

Team Player:

Team player who can contribute to building a positive team spirit, keeps commitments, inspires the trust of others, works with integrity and ethically, and upholds firm values

Ability to perform under pressure amid tight deadlines; can effectively prioritize and plan

Collaborative across teams and levels, both internally and externally

Why FT Partners?

Managing Partner and Managing Directors formerly of Goldman Sachs and JP Morgan

Award-winning execution; Investment Bank of the Year / Boutique of the Year Awards (among many others)

Executing both billion dollar and early stage / high-growth VC transactions

Excellent career path, strong and competitive compensation

Unparalleled deal flow with premier client base

Access to world-class executives at high-growth companies

Dominant footprint in the one of largest sectors: financial technology

Top-notch financial sponsor relationships

Close-knit, rapidly growing team

Selected transactions include advising:

Divvy's $2.5 billion Sale to Bill.com

GreenSky’s $2.2 billion Sale to Goldman Sachs

Truebill’s $1.3 billion Sale to Rocket Companies

Currencycloud’s $1 billion Sale to Visa

Revolut's $800 million Financing at a $33 billion Valuation

Mollie’s $800 million Financing at a $6.5 billion Valuation

Payrix’ ~$800 million Sale to FIS

Cross River’s $620 million Series D Financing

Velocity Global’s $400 million Series B Financing

SpotOn’s $300 million Series F Financing at a $3.6 billion Valuation

Upgrade’s $280 million Series F Financing at a $6 billion Valuation

Lendable’s $275 million Financing at a $4.5 billion Valuation

Mambu’s ~$266 million Series E Financing at a ~$5.5 billion Valuation

Newfront’s $200 million Financing at a $2.2 billion Valuation

com’s $60 million Series C Financing at a $1.2 billion Valuation

Acorns’ Acquisition of GoHenry

Inclusion and Equal Opportunity Employment: Financial Technology Partners is an equal opportunity employer committed to diversity and inclusion. We are pleased to consider all qualified applicants for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, age, disability, protected veterans status, Aboriginal/Native American status or any other legally-protected factors.