Compliance Associate
Public.com
About us:
Public is an investing platform that makes building a multi-asset portfolio fast, frictionless, and secure. Members can trade stocks, options, bonds, crypto, ETFs, and alternative assets—all in one place. Alongside its robust suite of investing tools, Public offers Alpha, a layer of artificial intelligence that provides fundamental data and custom analysis to support informed investment decisions.
Since 2019, Public has raised over $300 million. Investors include Accel, Tiger Global, Will Smith's Dreamers VC, The Chainsmokers' Mantis VC, and Shari Redstone's Advancit Capital, as well as renowned figures in business and culture, like Maria Sharapova, Tony Hawk, and NYU Stern professor Scott Galloway.
About the role:
As a Compliance Associate, you'll be an essential part of ensuring our compliance program runs smoothly and effectively. You’ll work closely with teams across the firm, including brokerage, marketing, legal, and customer service, helping everyone stay aligned with industry regulations while fostering collaboration and clear communication. This role is perfect for someone who enjoys working across departments and is excited about building relationships to support a culture of compliance.
Beyond day-to-day tasks, you’ll focus on improving processes, handling trade surveillance, and assisting with regulatory audits. You’ll also play a key role in ensuring everything runs smoothly while helping the team stay proactive and efficient in achieving our goals. If you're passionate about compliance, enjoy working closely with others, and love making improvements, this role is a great fit for you!
This role is based in our NYC office and is onsite Mon-Thurs.
What you’ll do:
- Collaborate across departments: Work with brokerage, marketing, legal, and customer service teams to ensure the compliance program is effectively executed across all functional areas.
- Drive process improvement: Identify areas for operational efficiency and implement improvements across the compliance workflow.
- Assist with regulatory audits: Assist in document retrieval and preparation for regulatory exams, and ensure adherence to FINRA rules and firm policies.
- Monitor compliance practices: Perform ongoing reviews of firm policies, surveillance, and trade monitoring to maintain compliance with FINRA regulations.
- Support marketing/advertisement reviews: Collaborate with the compliance specialist and marketing team to assist with principal review on firm marketing and advertisements.
- Conduct trade surveillance: Monitor for irregularities and ensure proper reporting procedures are followed.
- Manage daily operations: Oversee day-to-day compliance operations to meet service level goals, maintain compliance records, and collaborate with the team to address any emerging issues.
Who you are:
- Most importantly, a passion for compliance with a desire to challenge yourself and expand your knowledge in the capital markets
- Broad-based knowledge of financial products and services.
- Strong problem-solving skills and a keen eye for identifying process improvements.
- Excellent organizational skills and the ability to manage workflows efficiently.
- Experience in regulatory compliance surveillance, oversight, or assurance programs
- Natural strong work ethic and ability to remain motivated in an independent work environment
- Exceptional communication skills, high EQ, and the ability to manage multiple projects across stakeholders
- Necessary: FINRA SIE, Series 7 and 63 licenses; FINRA Series 24 licensure strongly preferred or required within 60 days of hire
- Bonus: FINRA Series 4, 53, and/or 86/87 licensure; experience in data driven analysis using visualization tools such as Looker, Tableau, etc.
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. The compensation range for this role is $85K-$125K based on skills and experience.
