Our client, a fintech startup firm is seeking for a super smart, self-motivated, personable hands on person that is hungry, eager to learn and excited to join their Compliance team. This is a unique opportunity to make a real impact off the bat in an exciting and growing industry at a firm well-positioned for success. This position is full-time at the firms offices in New York City, and will report to the Chief Compliance Officer.


  • Perform retail on-boarding using CDD and EDD research efforts and strategies as well as sound judgment and decision-making
  • Contributing to the creation and framework of the KYC/CDD program’s policies and procedures for current products and services.
  • Working alongside compliance and IT colleagues to vet and implement the most suitable

technology and platforms for surveillance.


  • Juris Doctor preferred or fairly recent college graduate
  • 1-2 years of financial services industry regulatory compliance or related experience
  • Track record of success and results, ideally in a high-growth or entrepreneurial environment
  • Based in NYC


Competitive base salary, health benefits, and profit interests (similar to stock options)


Please send resumes to Jack Kelly – JKelly@ComplianceSearch.com

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