Deputy Chief Compliance Officer, Brex Cash (Remote) | Career Opportunities | Brex
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Deputy Chief Compliance Officer, Brex Cash (Remote)

Deputy Chief Compliance Officer, Brex Cash (Remote)

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.

Compliance Team at Brex 
The Compliance team helps the company grow responsibility, advocating for Brex and for the thousands of growing businesses we serve. We own the compliance policies for Brex, provide strategic advice and guidance to all Brex teams, protect Brex from Financial Crime and other compliance risks, and represent the company externally on key regulatory and policy issues. 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 a key member of the Broker-Dealer compliance team supporting Brex Treasury’s innovative product, Brex Cash. As a Deputy Chief Compliance Officer, you will play an essential role in developing and implementing a world-class compliance program to support our broker-dealer product. You will work closely with the business to provide front office support and training while managing interactions, audits, and exams with regulators like FINRA and SEC. The ideal candidate takes a fresh, innovative approach to compliance and will have an opportunity to be the successor of the current CCO for Brex Treasury.

Responsibilities

  • Assist in the development, implementation, and maintenance of the broker-dealer’s compliance program, including policies, procedures, systems monitoring, technology, and training
  • Work closely with Brex Treasury’s Chief Compliance Officer and Legal Department
  • Provide appropriate support, advice, and training to relevant front-office and operational personnel with respect to FINRA and SEC rules and regulations, licensing requirements, supervision, and other compliance-related issues
  • Assist in the management of internal and external regulatory examinations, audits, inquiries, and similar reviews in relation to the broker-dealer’s business activities
  • Identify current and emerging regulatory risks, implement risk mitigation plans, and provide reports to Brex Treasury’s CCO and senior management
  • Work with the CCO and internal and external legal counsel to adapt to regulatory developments or address the compliance implications of new business products and services
  • Review, interpret and assess regulatory impact related to proposed SEC and SRO rules and regulations
  • Develop and execute appropriate testing programs to verify compliance with relevant rules.
  • Investigate, develop, and implement appropriate action plans in response to regulatory, testing, or audit findings
  • Review and approve marketing materials and other public communications

Requirements

  • 10 + years’ compliance experience in a compliance department of a registered broker-dealer (Experience with a Registered Investment Adviser is a plus)
  • Extensive knowledge of SEC and FINRA rules
  • Excellent written and verbal communication skills and interpersonal skills to work effectively with internal and external stakeholders
  • Experience managing compliance staff members
  • Detail-oriented, accurate, organized, and able to set priorities
  • Ability to multi-task and adapt to shifting priorities in a fast-paced environment
  • Series 7, 24 
  • FinTech experience is a plus, but not required
Open an account

Careers

Deputy Chief Compliance Officer, Brex Cash (Remote)

Deputy Chief Compliance Officer, Brex Cash (Remote)

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.

Compliance Team at Brex 
The Compliance team helps the company grow responsibility, advocating for Brex and for the thousands of growing businesses we serve. We own the compliance policies for Brex, provide strategic advice and guidance to all Brex teams, protect Brex from Financial Crime and other compliance risks, and represent the company externally on key regulatory and policy issues. 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 a key member of the Broker-Dealer compliance team supporting Brex Treasury’s innovative product, Brex Cash. As a Deputy Chief Compliance Officer, you will play an essential role in developing and implementing a world-class compliance program to support our broker-dealer product. You will work closely with the business to provide front office support and training while managing interactions, audits, and exams with regulators like FINRA and SEC. The ideal candidate takes a fresh, innovative approach to compliance and will have an opportunity to be the successor of the current CCO for Brex Treasury.

Responsibilities

  • Assist in the development, implementation, and maintenance of the broker-dealer’s compliance program, including policies, procedures, systems monitoring, technology, and training
  • Work closely with Brex Treasury’s Chief Compliance Officer and Legal Department
  • Provide appropriate support, advice, and training to relevant front-office and operational personnel with respect to FINRA and SEC rules and regulations, licensing requirements, supervision, and other compliance-related issues
  • Assist in the management of internal and external regulatory examinations, audits, inquiries, and similar reviews in relation to the broker-dealer’s business activities
  • Identify current and emerging regulatory risks, implement risk mitigation plans, and provide reports to Brex Treasury’s CCO and senior management
  • Work with the CCO and internal and external legal counsel to adapt to regulatory developments or address the compliance implications of new business products and services
  • Review, interpret and assess regulatory impact related to proposed SEC and SRO rules and regulations
  • Develop and execute appropriate testing programs to verify compliance with relevant rules.
  • Investigate, develop, and implement appropriate action plans in response to regulatory, testing, or audit findings
  • Review and approve marketing materials and other public communications

Requirements

  • 10 + years’ compliance experience in a compliance department of a registered broker-dealer (Experience with a Registered Investment Adviser is a plus)
  • Extensive knowledge of SEC and FINRA rules
  • Excellent written and verbal communication skills and interpersonal skills to work effectively with internal and external stakeholders
  • Experience managing compliance staff members
  • Detail-oriented, accurate, organized, and able to set priorities
  • Ability to multi-task and adapt to shifting priorities in a fast-paced environment
  • Series 7, 24 
  • FinTech experience is a plus, but not required

Careers

Deputy Chief Compliance Officer, Brex Cash (Remote)

Deputy Chief Compliance Officer, Brex Cash (Remote)

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.

Compliance Team at Brex 
The Compliance team helps the company grow responsibility, advocating for Brex and for the thousands of growing businesses we serve. We own the compliance policies for Brex, provide strategic advice and guidance to all Brex teams, protect Brex from Financial Crime and other compliance risks, and represent the company externally on key regulatory and policy issues. 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 a key member of the Broker-Dealer compliance team supporting Brex Treasury’s innovative product, Brex Cash. As a Deputy Chief Compliance Officer, you will play an essential role in developing and implementing a world-class compliance program to support our broker-dealer product. You will work closely with the business to provide front office support and training while managing interactions, audits, and exams with regulators like FINRA and SEC. The ideal candidate takes a fresh, innovative approach to compliance and will have an opportunity to be the successor of the current CCO for Brex Treasury.

Responsibilities

  • Assist in the development, implementation, and maintenance of the broker-dealer’s compliance program, including policies, procedures, systems monitoring, technology, and training
  • Work closely with Brex Treasury’s Chief Compliance Officer and Legal Department
  • Provide appropriate support, advice, and training to relevant front-office and operational personnel with respect to FINRA and SEC rules and regulations, licensing requirements, supervision, and other compliance-related issues
  • Assist in the management of internal and external regulatory examinations, audits, inquiries, and similar reviews in relation to the broker-dealer’s business activities
  • Identify current and emerging regulatory risks, implement risk mitigation plans, and provide reports to Brex Treasury’s CCO and senior management
  • Work with the CCO and internal and external legal counsel to adapt to regulatory developments or address the compliance implications of new business products and services
  • Review, interpret and assess regulatory impact related to proposed SEC and SRO rules and regulations
  • Develop and execute appropriate testing programs to verify compliance with relevant rules.
  • Investigate, develop, and implement appropriate action plans in response to regulatory, testing, or audit findings
  • Review and approve marketing materials and other public communications

Requirements

  • 10 + years’ compliance experience in a compliance department of a registered broker-dealer (Experience with a Registered Investment Adviser is a plus)
  • Extensive knowledge of SEC and FINRA rules
  • Excellent written and verbal communication skills and interpersonal skills to work effectively with internal and external stakeholders
  • Experience managing compliance staff members
  • Detail-oriented, accurate, organized, and able to set priorities
  • Ability to multi-task and adapt to shifting priorities in a fast-paced environment
  • Series 7, 24 
  • FinTech experience is a plus, but not required