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Compliance Manager at Financial Technology Partners - ApplyBlast

Compliance Manager

Financial Technology Partners

4 days ago

3.7 on Glassdoor

New York, New York, United States

Onsite

Full Time

Manager

0 applicants

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About this role

Financial Technology Partners is seeking a Compliance Manager to oversee and execute regulatory compliance for FINRA, SEC, and FCA frameworks. The role involves advising management on strategic decisions, monitoring daily compliance matters, and tailoring compliance programs to the firm's evolving needs. The position requires a strong understanding of investment banking and broker-dealer regulatory requirements.

Responsibilities

Oversee and execute FINRA, SEC, and FCA regulatory compliance
Design and tailor compliance programs to meet evolving firm needs
Advise firm management on strategic decision making and regulatory developments

Skills

About Financial Technology Partners

ftpartners.com

Headquarters

San Francisco, California, United States

Company Size

201-500 employees

Founded

2001

View Profile

FT Partners is the only investment bank focused exclusively on the financial technology sector, with offices in San Francisco, New York, Miami and London. Founded by Steve McLaughlin and staffed by senior bankers with deep backgrounds in Goldman Sachs’ fintech and financial institutions groups, the firm provides M&A, strategic and financial advisory and public equity research tailored to fintech companies. FT Partners has advised on many of the largest fintech transactions in history and emphasizes senior-level relationships, industry expertise and bespoke advice to CEOs and other decision makers. The firm has been recognized with awards such as Dealmaker of the Year and Investment Banking Firm of the Year.