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Analyst - Compliance

New York, NY

About Clear Street:

Clear Street is modernizing the brokerage ecosystem. Founded in 2018, Clear Street is a diversified financial services firm replacing the legacy infrastructure used across capital markets.

We started from scratch by building a completely cloud-native clearing and custody system designed for today’s complex, global market. Clear Street’s proprietary prime brokerage platform adds significant efficiency to the market, while focusing on minimizing risk, redundancy, and cost for clients. Our goal is to create a single source-of-truth platform for every asset class, in every country, and in any currency.

By combining highly-skilled product and engineering talent with seasoned finance professionals, we’re building the essentials to compete in today’s fast-paced markets.

 

The Role:

The Compliance Team seeks a detail-oriented and motivated Junior Compliance Officer to support the Compliance Department in ensuring adherence to the regulatory requirements, particularly those set by FINRA, the SEC, and other applicable agencies, and the Firm’s Policies and Procedures. This entry-level position is designed for individuals looking to grow within the financial services compliance and legal field. The Compliance Officer will work closely with other members of the Compliance Team to support the business functions, to provide guidance, address questions, conduct surveillance, investigate issues, and develop sustainable corrective actions. The ideal candidate will possess a strong work ethic and be eager to help build the compliance program and the Firm’s culture of compliance.

Responsibilities 

  • Assist in implementing and maintaining the Firm’s compliance policies and procedures.
  • Conduct periodic testing of the various departments’ adherence to the Firm’s policies and procedures.
  • Help ensure compliance with FINRA rules, SEC regulations, and internal policies.
  • Assist with the regulatory filings including Forms U4/U5, Form BD updates, and CRD filings.
  • Support the Compliance Department's compliance systems for electronic communications, disclosures,  and training.
  • Maintain compliance records and documentation in accordance with regulatory requirements.

Experience and Skills:

  • Bachelor’s degree in finance, business, law, or a related field.
  • Internship with a financial services, regulator, or audit firm is a plus.
  • Effective communication and interpersonal skills.
  • Team player who is comfortable working in a fast-paced collaborative environment
  • Strong organizational and analytical skills.
  • High level of integrity and discretion.
  • Proficiency with Google Workspace (i.e., Gmail, Google Sheets, Google Docs) is a plus

 

We Offer:

The Base Salary Range for this role is $65,000-75,000. This range is representative of the starting base salaries for this role at Clear Street. Where a candidate falls in this range will be based on job related factors such as relevant experience, skills, and location. This range represents Base Salary only, which is just one element of Clear Street's total compensation. The range stated does not include other factors of total compensation such as bonuses or equity.

At Clear Street, we offer competitive compensation packages, company equity, 401k matching, gender neutral parental leave, and full medical, dental and vision insurance. Our belief has always been that we are better as a business when we are all together in person. As such, we are requiring employees to be in the office 4 days per week. In-office benefits include lunch stipends, fully stocked kitchens, happy hours, a great location, and amazing views.

Our top priority is our people. We’re continuously investing in a culture that promotes collaboration. We help each other through challenges and celebrate each other's successes. We believe that modern workplaces succeed by virtue of having high-performance workforces that are diverse — in ideas, in cultures, and in experiences. We put in the effort to make such a workplace a daily reality and are proud to be an equal opportunity employer.

#LI-Hybrid

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