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Role Description
The Junior Compliance Officer will support the development, enhancement, and implementation of policies and procedures across the organization. This role is designed for a detail-oriented professional who is eager to build expertise in regulatory compliance while contributing meaningfully to operational excellence.
The position will focus on translating regulatory requirements and business strategy into structured policies that not only mitigate risk, but also support customer experience, profitability, and scalability. The Junior Compliance Officer will play a key role in maintaining alignment between regulatory obligations, internal documentation, product functionality, and operational workflows.
Key Responsibilities:
• Policy Development & Governance
• Support the drafting, review, and maintenance of internal compliance policies.
• Conduct regulatory research to ensure policies reflect current FINRA and SEC requirements.
• Assist in designing policies that balance risk management with operational efficiency and customer experience.
• Contribute to a comprehensive policy framework that supports sustainable growth and scalability.
• Maintain version control and documentation standards for all policy materials.
• Procedure & SOP Alignment
• Translate approved policies into actionable procedures and operational guidelines.
• Support the creation and ongoing updates of Standard Operating Procedures (SOPs).
• Ensure internal documentation, including WSPs and knowledge base materials, remains consistent and up to date.
• Identify gaps or inconsistencies between policies and operational practices and recommend corrective updates.
• Cross-Functional Collaboration
• Liaise with Product, Operations, Delivery, and other internal teams to ensure policies are operationally feasible and effectively implemented.
• Partner with Product teams to ensure system functionality aligns with regulatory requirements and internal policies.
• Support internal stakeholders by providing guidance on policy interpretation and procedural application.
• Assist in preparing materials and documentation needed for internal reviews or regulatory examinations.
• Generally support the senior leaders within the Compliance in the daily administration of the firm’s Compliance Program.
Qualifications
• Bachelor’s degree in Finance, Business, Law, or a related field.
• 3-5 years of experience in compliance, risk, regulatory research, or a related function (broker-dealer experience preferred but not required).
• Strong research and analytical skills.
• Understanding of financial services regulatory environments (FINRA/SEC knowledge is a plus).
• Familiarity with compliance documentation such as WSPs and SOPs is preferred.
Requirements
• Highly detail-oriented with strong organizational skills.
• Strong written communication skills, particularly in drafting structured documentation.
• Able to synthesize regulatory guidance into clear, practical language.
• Collaborative and comfortable working cross-functionally.
• Proactive, curious, and eager to learn.
• Able to manage multiple priorities in a structured and disciplined manner.
• Proficient in Google Workspace and documentation management tools.
• Available to work during Pacific Time Zone business hours (GMT -7).
Benefits
• 100% Remote work (Work from wherever you want!)
• Competitive USD salary
• High-Speed Internet expenses allowance
• Generous Paid time-off (Vacation Time!)
• Additional 17 Flex Days (to use in national holidays or personal matters)
• People Team Partner (to target your roadblocks and customize an action plan for your career path)
• Buddy Program
• Virtual After-Office Activities
• Diverse Culture & Inclusive environment