The mission of FINRA’s Office of Financial Innovation (the “Office”) is to serve as a central point within FINRA for financial technology (fintech) innovation matters, to identify and analyze emerging trends in the securities industry, and to facilitate awareness of and responses to these issues. The Office contains two branches: a Financial Innovation branch designed to collaborate with teams across FINRA to promote engagement with the industry, regulators, investors, and other stakeholders on matters involving significant financial innovation; and an Emerging Trends branch, designed to collect and analyze information related to emerging risks and trends that may affect FINRA and its regulatory programs. As a Director within the Financial Innovation Branch, they will perform both a procedural and substantive role in the Office by (1) managing various programs, projects and other initiatives coordinated by the Office, including various FINRA cross-departmental initiatives; and...
26/06/2020
Full time
The mission of FINRA’s Office of Financial Innovation (the “Office”) is to serve as a central point within FINRA for financial technology (fintech) innovation matters, to identify and analyze emerging trends in the securities industry, and to facilitate awareness of and responses to these issues. The Office contains two branches: a Financial Innovation branch designed to collaborate with teams across FINRA to promote engagement with the industry, regulators, investors, and other stakeholders on matters involving significant financial innovation; and an Emerging Trends branch, designed to collect and analyze information related to emerging risks and trends that may affect FINRA and its regulatory programs. As a Director within the Financial Innovation Branch, they will perform both a procedural and substantive role in the Office by (1) managing various programs, projects and other initiatives coordinated by the Office, including various FINRA cross-departmental initiatives; and...
Job Description & Requirements IB Group’s affiliate, Greenwich Advisor Compliance Services (“Greenwich Compliance”), offers registration and compliance services to investment advisors who wish to use the Interactive Brokers platform. IB Group and its Greenwich Compliance subsidiary are growing rapidly. We are looking to expand our Greenwich Compliance team by adding a motivated, talented and experienced compliance professional familiar with the compliance obligations of SEC- and state-registered investment advisors under the Investment Advisers Act of 1940 and similar state statutes. We will consider recent law school graduates with knowledge and interest about advisors and their obligations, or college graduates with experience in advisor compliance. Responsibilities Responding to registration and compliance questions from current and potential investment advisors. Working with advisors to prepare their SEC and state registration filings, including Form ADV...
15/06/2020
Full time
Job Description & Requirements IB Group’s affiliate, Greenwich Advisor Compliance Services (“Greenwich Compliance”), offers registration and compliance services to investment advisors who wish to use the Interactive Brokers platform. IB Group and its Greenwich Compliance subsidiary are growing rapidly. We are looking to expand our Greenwich Compliance team by adding a motivated, talented and experienced compliance professional familiar with the compliance obligations of SEC- and state-registered investment advisors under the Investment Advisers Act of 1940 and similar state statutes. We will consider recent law school graduates with knowledge and interest about advisors and their obligations, or college graduates with experience in advisor compliance. Responsibilities Responding to registration and compliance questions from current and potential investment advisors. Working with advisors to prepare their SEC and state registration filings, including Form ADV...
About Aldrich Capital Partners Aldrich Capital Partners (http://www.aldrichcap.com/) is a Washington, DC-based growth equity fund that invests $10- $50 million in rapidly growing companies within the Healthcare IT, software, and FinTech sectors. Our Principals, Mirza Baig and Raheel ‘Raz’ Zia, have invested over $1B in high growth companies and are experienced investors and operators who contribute strategic insight and execution experience to companies. Manager of Finance and Accounting Role: The Manager of Finance will be responsible for oversight of multiple funds. Fund structues include closed-end structures, parallel fund vehicles, and co-investment vehicles. Primary responsibilities also include managing and establishing goals/strategic direction for 3 offshore accountants, managing the relationships with the third party administrator, independent auditors, and external preparers. Key...
04/06/2020
Full time
About Aldrich Capital Partners Aldrich Capital Partners (http://www.aldrichcap.com/) is a Washington, DC-based growth equity fund that invests $10- $50 million in rapidly growing companies within the Healthcare IT, software, and FinTech sectors. Our Principals, Mirza Baig and Raheel ‘Raz’ Zia, have invested over $1B in high growth companies and are experienced investors and operators who contribute strategic insight and execution experience to companies. Manager of Finance and Accounting Role: The Manager of Finance will be responsible for oversight of multiple funds. Fund structues include closed-end structures, parallel fund vehicles, and co-investment vehicles. Primary responsibilities also include managing and establishing goals/strategic direction for 3 offshore accountants, managing the relationships with the third party administrator, independent auditors, and external preparers. Key...
