What are the responsibilities and job description for the Compliance Specialist position at Ools Inc?
Company Description OolTool, a product of Ools Inc., is a portfolio analytics platform that helps investors identify income and risk‑management opportunities using the stocks, ETFs, options, and cash they already hold. The platform centralizes portfolio visibility, options analytics, and actionable insights to highlight Covered Call, Cash‑Secured Put, and protective strategy ideas. By simplifying complex options data, OolTool enables users to better understand their portfolios and make more informed decisions. OolTool focuses on providing technology and analytics tools and does not offer investment advice, brokerage, or investment management services. Team members contribute to a data‑driven product that supports smarter investing through clear, accessible analytics.
Role Description The Compliance Specialist is a full‑time, on‑site role based in New York, NY. This role is responsible for overseeing compliance processes to ensure Ools Inc. operates in alignment with applicable laws, regulations, and internal policies, especially in the context of financial analytics and technology. Day‑to‑day tasks include monitoring regulatory developments, assessing business practices for compliance risks, maintaining and updating compliance frameworks, and supporting the drafting and review of policies, procedures, and disclosures. The Compliance Specialist will collaborate with legal, product, operations, and leadership teams to conduct risk assessments, implement controls, and support internal audits or reviews. The role also involves training team members on compliance requirements, documenting findings, and preparing reports for internal stakeholders and, when needed, external parties.
Qualifications
Role Description The Compliance Specialist is a full‑time, on‑site role based in New York, NY. This role is responsible for overseeing compliance processes to ensure Ools Inc. operates in alignment with applicable laws, regulations, and internal policies, especially in the context of financial analytics and technology. Day‑to‑day tasks include monitoring regulatory developments, assessing business practices for compliance risks, maintaining and updating compliance frameworks, and supporting the drafting and review of policies, procedures, and disclosures. The Compliance Specialist will collaborate with legal, product, operations, and leadership teams to conduct risk assessments, implement controls, and support internal audits or reviews. The role also involves training team members on compliance requirements, documenting findings, and preparing reports for internal stakeholders and, when needed, external parties.
Qualifications
- Candidates should possess skills in Compliance Management and Regulatory Compliance to design, implement, and oversee effective compliance programs.
- Candidates should possess skills in Legal Compliance and Analytical Skills to interpret regulations, assess risk, and analyze the impact of new requirements on business operations.
- Candidates should possess strong Communication skills to prepare clear documentation, communicate policies, and provide guidance and training across teams.
- Experience in financial services, fintech, or analytics platforms, with familiarity in securities and options concepts, is beneficial.
- Bachelor’s degree in law, finance, business, or a related field; professional certifications in compliance or risk management (e.g., CRCM, CAMS) are a plus.
- Demonstrated ability to work collaboratively, manage multiple priorities, maintain attention to detail, and uphold ethical standards in a fast‑paced environment.