Job Description

About One

One’s mission is simple - to help customers achieve financial progress. We’re doing this by creating simple solutions to help our customers save, spend, borrow, and grow their money – all in one place.

The U.S. consumer today deserves better. Millions of Americans today can’t access credit, build savings or wealth, and are left to manage their financial lives through multiple disconnected apps. Almost a quarter of U.S. adults are unbanked or underbanked and roughly 80% of fintech users rely on multiple accounts to manage their finances.

What makes us unique? We are backed by a preeminent fintech investor (Ribbit) and the world’s largest retailer (Walmart), maintain the speed and independence of a startup, and employ a strong (and growing) collection of world-class talent.

There’s never been a better moment to build a business that helps people achieve financial progress. Come build with us!

The Role

We are seeking a proactive and experienced Compliance Manager to join our growing team at a new FINRA-registered broker-dealer. This is a dynamic role requiring a hands-on professional with the ability to develop, implement, and manage compliance programs, policies, and procedures. The ideal candidate will be a generalist with the expertise to oversee supervisory functions, collaborate with regulators and internal stakeholders, and help ensure the firm operates in compliance with all applicable FINRA, SEC, and other regulatory requirements

Key Responsibilities

1. Policy Development and Implementation

• Design, implement, and update compliance policies and procedures to ensure alignment with regulatory requirements.

• Maintain an effective compliance program tailored to the firm's size, scope, and activities.

2. Regulatory Oversight

• Serve as a point of contact for FINRA, SEC, and other regulatory bodies.

• Prepare for and manage regulatory examinations, audits, and inquiries.

• Maintain up-to-date knowledge of applicable laws, rules, and regulations and advise senior management of key developments.

3. Supervisory and Risk Management Functions

• Perform and oversee supervisory reviews, including trade surveillance, electronic communications monitoring, and other supervisory functions.

• Identify potential compliance risks and develop strategies to mitigate them.

• Conduct internal audits and compliance testing to assess the firm’s adherence to policies and regulations.

4. Training and Stakeholder Collaboration

• Develop and deliver compliance training programs to staff at all levels.

• Partner with internal stakeholders, including legal, operations, and business units, to provide compliance guidance and ensure effective communication.

• Advise senior management on compliance issues and participate in strategic decision-making.

5. Documentation and Reporting

• Maintain accurate records of compliance activities, including policies, supervisory procedures, and audit findings.

• Prepare compliance reports for senior management and the board of directors.

• File regulatory reports and disclosures in a timely and accurate manner.

You bring

Required :

• Bachelor’s degree in finance, business, law, or a related field.

• Minimum of 5-7 years of compliance experience in a broker-dealer or financial services environment.

• FINRA Series 7, 24, or 27 licenses (or willingness to obtain within a specified timeframe).

• Strong knowledge of FINRA and SEC rules and regulations.

• Demonstrated ability to build and manage compliance policies, procedures, and programs.

• Excellent communication skills, with the ability to interact effectively with regulators and internal stakeholders.

Preferred :

• Experience with risk management and supervisory processes.

• Proven ability to work in a fast-paced, startup environment.

Key Attributes :

• Strategic thinker with a detail-oriented approach.

• Self-starter with strong organizational and multitasking abilities.

• Collaborative mindset with strong interpersonal skills.

Pay Transparency

The estimated annual base salary for this position ranges from $140,000 to $160,000. Pay is generally based upon the level, complexity, responsibility, location and job duties / requirements of the specific position. We then source candidates with the requisite skills, expertise, education, training, and experience.  If you are selected for an interview, please feel welcome to speak to a Talent Partner about our compensation philosophy and other available benefits.

What it’s like working @ One

• Competitive cash

• Benefits effective on day one 

• Early access to a high potential, high growth fintech

• Generous stock option packages in an early-stage startup

• Remote friendly (anywhere in the US) and office friendly - you pick the schedule

• Flexible time off programs - vacation, sick, paid parental leave, and paid caregiver leave

• 401(k) plan with match

We use Covey as part of our hiring process for jobs in NYC and certain features may qualify it as an AEDT. As part of the evaluation process we provide Covey with job requirements and candidate submitted applications. We began using Covey Scout for Inbound on May 31, 2024.

Please see the independent bias audit report covering our use of Covey here .

Leveling Philosophy

In order to thoughtfully scale the company and avoid downstream inequities, we’ve adopted a flat titling structure at One. Though we may occasionally post a role externally with a prefix such as “Senior” to reflect the external level of the position, we do not use prefixes in titles like that internally unless in a position which manages a team. Internal titles typically include your specific functional responsibility, such as engineering, product management or sales, and often include additional descriptors to ensure clarity of role and placement within our organization (i.e. “Engineer, Platform”, “Sales, Business Development” or “Manager, Talent”). Employees are paid commensurate with their experience and the internal level within One.

Inclusion & Belonging

To build technology and products that are used and loved by people and solve real-world problems, we need to build a team with many different perspectives and experiences. We are an equal opportunity employer and value diversity at our company. We do not discriminate on the basis of race, religion, color, national origin, gender, sexual orientation, age, marital status, veteran status, or disability status. We encourage candidates from all backgrounds to apply. Applicants in need of special assistance or accommodation during the interview process or in accessing our website may contact us at [email protected].

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