Public is hiring a

Web3 Chief Compliance Officer, Broker Dealer

Public.comis an investing platform that helps people become better investors. Members can build a diverse portfolio of stocks, ETFs, and crypto within a single platform.

On Public, ownership unlocks an experience of content and education, contextual to their portfolio, created by a million+ strong community of investors, creators and analysts.

Public puts investors first, and doesn’t sell trades to market makers or take money from Payment for Order Flow (PFOF).

We announced ourSeries Dfunding round of $220 million in Feb. 2021, just two months after our Series C round. Our investors include Accel, Greycroft,(the original investors in Venmo) and Lakestar,as well as Will Smith (Dreamers VC), Tony Hawk, The Chainsmokers’ Mantis VC; NFL star J.J. Watt, NYU Stern professor and entrepreneur Scott Galloway, business executive Dick Parsons, Business Class founder Sophia Amoruso, and Shari Redstone’s Advancit Capital.

What You’ll Do:

• Serve as the Chief Compliance Officer and Anti-Money Laundering Officer of the Broker-Dealer, reporting to the Global CCO of Public Holdings
• Manage FINRA examinations and respond to regulatory requests
• Partner with the Global CCO and others to identify key risks and mitigating actions
• Participate in the Best Execution and Order Routing Committee
• Maintain the Written Supervisory Procedures and Compliance Manual (WSP)
• Oversee the creation of desk / internal control procedures for Compliance and other departments
• Manage a growing team
• Leverage technology and third-party solutions to streamline compliance processes; evaluate existing providers to identify alternatives as needed
• Monitor regulatory updates and implement such changes, when applicable, into the WSP and internal control procedures
• Conduct the Annual Supervisory Review and Testing, and corresponding CEO certification under FINRA Rules 3120 and 3130.
• Ensure the annual, quarterly, and ad hoc FINRA reporting, and submission requirements are met for the broker dealer
• Conduct and/or oversee periodic surveillance reviews for the following areas, among others: trading surveillance, trade reporting, review and approval of marketing / advertising / social media materials, and review / approval of activities involving FINRA licensed and NRF personnel
• Partner with other departments to manage the retention of regulatory books and records pursuant to regulatory and business requirements
• Provide timely guidance to the business on compliance matters
• Oversee completion of training, as required (e.g., Annual Compliance Meeting, Firm Element, Regulatory Element, etc.)
• Collaborate and develop professional relationships with internal and external business partners.
• Assist on special projects and ad hoc assignments with the Global CCO and others in the firm

Who you are:

• Strong interest in continually learning new skills, embracing change in the securities industry, and working for a rapidly growing FinTech firm
• 7+ years of relevant compliance experience working for a FINRA regulated firm
• Technical knowledge, strong typing skills, and a desire to embrace the use of technology to streamline processes
• Licenses required: Series 7 and 24. Series 63 and 65 or Series 66 a plus
• Extensive knowledge of FINRA and SEC rules and applicability of the rules to employee and firm activities
• Bachelor’s degree required
• Knowledge and in-depth familiarity with trading, market making, customer suitability and/or related areas is important
• Success driving positive interactions with employees, third parties and regulators
• Experience with the FINRA Form BD, Form BR, FINRA Contact System, and related filings
• Experience monitoring and evaluating employee activities - e.g., outside account monitoring, OBAs, PSTs, electronic communications retention and surveillance, new hire onboarding, off-boarding, and other requirements to which a broker-dealer is subject

Bonus Points:

• Experience working for FINRA or another securities regulator in addition to working at a broker-dealer
• Experience working in International Compliance
• Knowledge and experience working with the SEC Registered Investment Advisor rules and regulations
• Experience working with cryptocurrencies or NFTs
• Experience working with Regulation A is a plus

Public is an equal employment opportunity employer to all employees and applicants for employment and prohibits discrimination and harassment of any type. We celebrate people of all race, color, religion, age, sex, national origin, disability status, genetics, veteran status, sexual orientation, gender identity, or expression.

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