Careers

Compliance Associate

Compliance Associate

Why join us

Brex is reimagining financial systems so every growing company can realize their full potential. As the financial OS, we’re building software and services in one place—disrupting long-entrenched institutions with products and experiences that better serve the ambitions of our customers.

Working at Brex allows you to push your limits, challenge the status quo, and collaborate with some of the brightest minds in the industry. We’re committed to building a diverse team and inclusive culture and believe your potential should only be limited by how big you can dream. We make this a reality by empowering you with the tools, resources, and support you need to grow your career.

Legal and Compliance at Brex

The Legal and Compliance team helps the company grow responsibility, advocating for Brex and for the thousands of growing businesses we serve. We provide strategic advice and guidance to all Brex teams, protect Brex, advise on risk, and represent the company externally, negotiating with partners and interacting with regulators. Reimagining the financial system in a highly regulated environment requires creativity and resourcefulness, and we welcome the challenge.

What you’ll do

You will be supporting the function of Brex Treasury LLC (“Brex or “The Firm”) and responsible for a number of areas within cash compliance. Brex Treasury LLC (“Brex” or “The Firm”) is an SEC and FINRA registered Broker-Dealer with offices in New York City, San Francisco, and Salt Lake City.  The Firm offers cash management accounts to startups and other small businesses with no fees (including wires and ACH’s).  You will report directly to the Chief Compliance Officer (“CCO”) of Brex Treasury LLC.  

Responsibilities

  • Provide day to day compliance support for the departments based in the Salt Lake City office, including Customer Experience, Cash Operations, and Onboarding 
  • Identify trends and provide training to these groups as needed
  • Review and analysis of electronic communications for Brex Treasury 
  • Review, reporting, and analysis of customer complaints under FINRA Rule 4530
  • Assist with Principal Reviews of prospective client applications
  • Review Firm’s written and supervisory procedures and provide updates as needed
  • Monitoring of FINRA’s Firm Gateway system to ensure that Firm registrations are up to date
  • Monitor registered employees to ensure that information related to outside brokerage accounts, outside business activities and private securities transactions are up to date
  • Partner with the CCO, Legal, Compliance, and People teams on various projects

Requirements

  • 2+ years of progressive experience in Broker Dealer Compliance
  • Bachelor's degree 
  • Series 7 and Series 24 licenses required (we will not sponsor any candidates who doesn’t already have both licenses)
  • Ability to work in a high pressure environment and address difficult situations in a professional manner
  • Strong interpersonal skills and comfortable working across various functions
  • Being innovative and providing “outside of the box” solutions

Bonus Points

  • Progressive experience in Broker-Dealer Compliance at a FinTech company
  • Experience designing and evaluating compliance metrics 
  • Passion for having an owner’s mentality towards responsibilities