Compliance at Brex

The Compliance team helps the company grow responsibly, advocating for Brex and for the tens of thousands of growing businesses we serve. We own the compliance policies for Brex, provide strategic advice and guidance to all Brex teams, protect Brex from financial crime and other compliance risks, and represent the company externally on key regulatory and policy issues. Reimagining the financial system in a highly regulated environment requires creativity and resourcefulness, and we welcome the challenge.

What you’ll do

As the Compliance Manager at Brex, you will play a critical role in developing, implementing, and maintaining the broker-dealer compliance program. You will also provide support for the payments compliance program as needed. The role will report directly to the Chief Compliance Officer of Brex Treasury.

Responsibilities

• Assist in the development, implementation, and maintenance of the broker-dealer and payments compliance programs, including policies, procedures, systems monitoring, technology, and training
• Provide appropriate support, advice, and training to relevant front-office and operational personnel with respect to FINRA and SEC rules and regulations, licensing requirements, supervision, and other compliance-related issues
• Review and maintain the Firm's Written and Supervisory Procedures (WSP's)
• Assist in the management of internal and external regulatory examinations, audits, inquiries, and similar reviews in relation to the broker-dealer and payments’ business activities
• Identify current and emerging regulatory risks, implement risk mitigation plans, and provide reports to the Senior Director of Regulatory Compliance and key senior management
• Work with compliance, internal and external legal counsel to adapt to regulatory developments or address the compliance implications of new business products and services
• Investigate, develop, and implement appropriate action plans in response to regulatory, testing, or audit findings
• Review and approve marketing materials and other public communications related to the broker-dealer.

Requirements

• 5 years of compliance experience in a compliance department of a registered broker-dealer
• Extensive knowledge of SEC and FINRA rules
• Excellent written and verbal communication skills and interpersonal skills to work effectively with internal and external stakeholders
• Detail-oriented, accurate, organized, and able to set priorities
• Ability to multi-task and adapt to shifting priorities in a fast-paced environment
• Series 7, 24 

Bonus Points

• Knowledge and experience within the Financial Technology (“FinTech”) industry
• Experience building a broker-dealer program from scratch
• Experience leading or playing an active role in regulatory audits

Knowledge of money transmission laws 

• Experience with ACH, Wire and Check compliance