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Core Compliance Officer - SEC Transfer Agent - Fintech - Remote

Company: Infinity Consulting Solutions
Location: San Francisco
Posted on: May 15, 2022

Job Description:

Core Compliance Officer - Delivery

Salt Lake City, UT / Potentially remote

We are looking for a Compliance Officer who will partner closely with the fintech's Delivery business unit ( - "BU") to help them quickly navigate through bespoke client issues by bringing an enterprising, yet pragmatic mindset in order to meet the enterprise's compliance and regulatory obligations in a very fast-scaling business setting.

The Problems You'll Solve

Under the supervision of the Director of Core Compliance an SEC Transfer Agent ( - "TA"), you will:

Support the Core Compliance initiatives of the firm's by directly advising the Delivery, Implementation, and Enablement teams on the regulatory impacts of their client engagements

Seek to mitigate risks for the Core Compliance group while always attempting to exceed client experience expectations

Help identify the top problems that our Transfer Agent clients experience, and contribute to scalable product improvement solutions to mitigate such issues going forward

Build effective relationships with cross-functional business partners and stakeholders to drive overall process improvements

Draft, publish, and test best practice Transfer Agent policies and procedures

Assist with Transfer Agent regulatory examinations, audits, and ad hoc compliance-related inquiries

Assist with the creation and delivery timely compliance training sessions to the firm's client-facing TA staff members and managers

About You

3-5 years of direct Transfer Agent ( - "TA") client services experience

Highly relevant work within an SEC Registered Investment Advisor ( - "RIA"), Broker-dealer ( - "Client"), and/or FinTech company may also be considered

Clear understanding of: private company capitalization tables, share class structures, financing rounds, 409A valuations, Rule 701, tender offers, etc.

Thorough knowledge of and direct financial services experience working with businesses governed under U.S. securities laws, rules, and regulations or exemptive relief

Easily able to collaborate with team members of all levels across the enterprise in order to form meaningfully strong working relationships within a fast-paced work environment

Highly organized with a compliance-minded focus on the most important and actionable client concerns

A positive attitude and a "what can go right" mentality while handling difficult situations

Excellent writing skills, with an emphasis on providing succinct, digestible guidelines to the BUs

Intellectual curiosity within the private equity ( - "PE"), venture capital ( - "VC"), and investment advisory ( - "IA") space

Uncompromising integrity, trustworthiness, and discretion

Strong critical thinking, problem solving, and decision-making skills

Keywords: Infinity Consulting Solutions, San Francisco , Core Compliance Officer - SEC Transfer Agent - Fintech - Remote, Sales , San Francisco, California

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