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Broker-Dealer / ATS creation
Clear expectations: 1) Lead FINRA's new membership application process for a broker-dealer 2) Develop an operational framework for Reg D and Reg A+ offerings and have familiarity with AML/KYC. 3) Establish market-making capabilities on partner ATS platforms 4) Source and negotiate with vendors and service providers 5) Test financial software systems and ensure regulatory compliance 6) Run day-to-day broker-dealer operations after approval Potential future SEC application for proprietary ATS 7) Must be comfortable and familiar with FINRA compliance rules and regulations Skills required: 1) Experience with broker-dealer operations and FINRA applications 2) Knowledge of Reg D and Reg A+ securities regulations 3) Understanding of ATS operations and market-making 4) Vendor management and negotiation skills 5) Ability to build compliant operational systems 6) Financial software implementation experience Communication: 1) Direct reporting to company leadership 2) Regular progress updates on regulatory processes 3) Clear documentation of compliance procedures How we work: 1) Flexible working arrangements available 2) Independent management of regulatory processes 3) Compensation options include contractor rates, expense reimbursement, or salary/benefits 4) Results-oriented environment focused on regulatory success
Keyword: Marketing Service
Price: $50.0
Customer Service Anti-Money Laundering Financial Disclosure SEC Regulation Mergers & Acquisitions Stock Issuance Administrative Support