Compliance Associate- Remote

  • Figure
  • Remote
  • Mar 22, 2021
Full time Finance

Job Description

About Figure
At Figure, we’re on a mission to transform financial services through blockchain, bringing speed, efficiency, and savings to both consumers and institutions.

Accomplishing this kind of transformation requires building really big things. And we understand that building big requires a creative, team-oriented, and supportive environment where everyone can do their absolute best work. The Figure team is comprised of incredibly driven, innovative, collaborative, and curious people who love architecting and building from scratch. Everyone at the company is encouraged to be an individual contributor but also a team collaborator. 

We value team members who bring an entrepreneurial mindset to every task and will embrace our culture of innovation. Every day at Figure is a journey in continuous learning yet a daily focus on getting work done that makes a difference.

This is an opportunity to work with a team of proven leaders who have already created billions of dollars in value in the Fintech space. Join us!


About the Role
The Associate will be responsible for supporting all aspects of the operations of Figure Securities, Inc., (“Figure”) an SEC and FINRA-registered broker-dealer.  This shall include the operation of Figure’s SEC-registered Alternative Trading System.  The Associate may also be required to support other business lines of Figure Technologies, Inc., including Figure’s capitalization table management system, Adnales.


What You’ll Do

  • Support customer onboarding team to comply with BSA, AML, and CIP requirements
  • Perform compliance monitoring and surveillance activities
  • Assist in the review of internal and external Firm communications and marketing materials
  • Assist CCO with the development, implementation, and maintenance of compliance policies and procedures and training program
  • Monitor compliance with policies relating to employee personal trading, outside business activities, gifts & entertainment, political contributions, and private securities transactions
  • Provide appropriate real-time support relating to broker-dealer compliance
  • Assist with FINRA Firm Gateway filings, including Form BD and Forms U4/U5, and monitoring continuing education requirements
  • Assist with internal and external exams, audits, inquiries, risk assessments, and similar reviews.
  • Support customer onboarding and record-keeping related to Adnales (capitalization table management system).


What We Look For

  • Bachelor’s degree (required)
  • 3+ years of experience in financial services compliance, preferably with a FINRA member firm
  • Series 7 (preferred)
  • Knowledge of SEC, FINRA, and AML rules and regulations
  • Ability to work dynamically in a fast-paced start-up environment
  • Excellent written and oral communication skills
  • Detail-oriented, accurate, organized, and able to set priorities
  • Excellent organizational and records management skills


Benefits To You

  • Competitive salary based on experience and skills
  • Firm-wide performance-based bonus
  • Competitive stock options package as an early member of the team
  • A flexible paid time off and vacation policy
  • Comprehensive health, vision, dental insurance
  • Company FSA, 401k, commuter benefits
  • And much more to come!

Depending on your residential location certain laws might regulate the way Figure manages applicant data. By submitting your application, you are agreeing and acknowledging that you have read and understood the above notice.


Figure will not sponsor work visas for this position. In compliance with federal law, all persons hired will be required to verify identity and eligibility to work in the United States and to complete the required employment eligibility verification form upon hire.