Back to jobs
New

Compliance Associate

New York, New York

About us:

Public is an investing platform that makes building a multi-asset portfolio fast, frictionless, and secure. Members can trade stocks, options, bonds, crypto, ETFs, and alternative assets—all in one place. Alongside its robust suite of investing tools, Public offers Alpha, a layer of artificial intelligence that provides fundamental data and custom analysis to support informed investment decisions.

Since 2019, Public has raised over $300 million. Investors include Accel, Tiger Global, Will Smith's Dreamers VC, The Chainsmokers' Mantis VC, and Shari Redstone's Advancit Capital, as well as renowned figures in business and culture, like Maria Sharapova, Tony Hawk, and NYU Stern professor Scott Galloway.

About the role: 

As a Compliance Associate, you'll be an essential part of ensuring our compliance program runs smoothly and effectively. You’ll work closely with teams across the firm, including brokerage, marketing, legal, and customer service, helping everyone stay aligned with industry regulations while fostering collaboration and clear communication. This role is perfect for someone who enjoys working across departments and is excited about building relationships to support a culture of compliance.

Beyond day-to-day tasks, you’ll focus on improving processes, handling trade surveillance, and assisting with regulatory audits. You’ll also play a key role in ensuring everything runs smoothly while helping the team stay proactive and efficient in achieving our goals. If you're passionate about compliance, enjoy working closely with others, and love making improvements, this role is a great fit for you!

This role is based in our NYC office and is onsite Mon-Thurs. 

What you’ll do:

  • Collaborate across departments: Work with brokerage, marketing, legal, and customer service teams to ensure the compliance program is effectively executed across all functional areas.
  • Drive process improvement: Identify areas for operational efficiency and implement improvements across the compliance workflow.
  • Assist with regulatory audits: Assist in document retrieval and preparation for regulatory exams, and ensure adherence to FINRA rules and firm policies.
  • Monitor compliance practices: Perform ongoing reviews of firm policies, surveillance, and trade monitoring to maintain compliance with FINRA regulations.
  • Support marketing/advertisement reviews: Collaborate with the compliance specialist and marketing team to assist with principal review on firm marketing and advertisements.  
  • Conduct trade surveillance: Monitor for irregularities and ensure proper reporting procedures are followed.
  • Manage daily operations: Oversee day-to-day compliance operations to meet service level goals, maintain compliance records, and collaborate with the team to address any emerging issues.

Who you are:

  • Most importantly, a passion for compliance with a desire to challenge yourself and expand your knowledge in the capital markets
  • Broad-based knowledge of financial products and services.
  • Strong problem-solving skills and a keen eye for identifying process improvements.
  • Excellent organizational skills and the ability to manage workflows efficiently.
  • Experience in regulatory compliance surveillance, oversight, or assurance programs
  • Natural strong work ethic and ability to remain motivated in an independent work environment 
  • Exceptional communication skills, high EQ, and the ability to manage multiple projects across stakeholders
  • Necessary: FINRA SIE, Series 7 and 63 licenses; FINRA Series 24 licensure strongly preferred or required within 60 days of hire
  • Bonus: FINRA Series 4, 53, and/or 86/87 licensure; experience in data driven analysis using visualization tools such as Looker, Tableau, etc.

Public is an equal employment opportunity employer to all employees and applicants for employment and prohibits discrimination and harassment of any type.  We celebrate people of all race, color, religion, age, sex, national origin, disability status, genetics, veteran status, sexual orientation, gender identity, or expression. The compensation range for this role is $85K-$125K based on skills and experience.

Apply for this job

*

indicates a required field

Resume/CV*

Accepted file types: pdf, doc, docx, txt, rtf

Cover Letter

Accepted file types: pdf, doc, docx, txt, rtf

Select...
Select...

Voluntary Self-Identification

For government reporting purposes, we ask candidates to respond to the below self-identification survey. Completion of the form is entirely voluntary. Whatever your decision, it will not be considered in the hiring process or thereafter. Any information that you do provide will be recorded and maintained in a confidential file.

As set forth in Public’s Equal Employment Opportunity policy, we do not discriminate on the basis of any protected group status under any applicable law.

Select...
Select...
Race & Ethnicity Definitions

If you believe you belong to any of the categories of protected veterans listed below, please indicate by making the appropriate selection. As a government contractor subject to the Vietnam Era Veterans Readjustment Assistance Act (VEVRAA), we request this information in order to measure the effectiveness of the outreach and positive recruitment efforts we undertake pursuant to VEVRAA. Classification of protected categories is as follows:

A "disabled veteran" is one of the following: a veteran of the U.S. military, ground, naval or air service who is entitled to compensation (or who but for the receipt of military retired pay would be entitled to compensation) under laws administered by the Secretary of Veterans Affairs; or a person who was discharged or released from active duty because of a service-connected disability.

A "recently separated veteran" means any veteran during the three-year period beginning on the date of such veteran's discharge or release from active duty in the U.S. military, ground, naval, or air service.

An "active duty wartime or campaign badge veteran" means a veteran who served on active duty in the U.S. military, ground, naval or air service during a war, or in a campaign or expedition for which a campaign badge has been authorized under the laws administered by the Department of Defense.

An "Armed forces service medal veteran" means a veteran who, while serving on active duty in the U.S. military, ground, naval or air service, participated in a United States military operation for which an Armed Forces service medal was awarded pursuant to Executive Order 12985.

Select...

Voluntary Self-Identification of Disability

Form CC-305
Page 1 of 1
OMB Control Number 1250-0005
Expires 04/30/2026

Why are you being asked to complete this form?

We are a federal contractor or subcontractor. The law requires us to provide equal employment opportunity to qualified people with disabilities. We have a goal of having at least 7% of our workers as people with disabilities. The law says we must measure our progress towards this goal. To do this, we must ask applicants and employees if they have a disability or have ever had one. People can become disabled, so we need to ask this question at least every five years.

Completing this form is voluntary, and we hope that you will choose to do so. Your answer is confidential. No one who makes hiring decisions will see it. Your decision to complete the form and your answer will not harm you in any way. If you want to learn more about the law or this form, visit the U.S. Department of Labor’s Office of Federal Contract Compliance Programs (OFCCP) website at www.dol.gov/ofccp.

How do you know if you have a disability?

A disability is a condition that substantially limits one or more of your “major life activities.” If you have or have ever had such a condition, you are a person with a disability. Disabilities include, but are not limited to:

  • Alcohol or other substance use disorder (not currently using drugs illegally)
  • Autoimmune disorder, for example, lupus, fibromyalgia, rheumatoid arthritis, HIV/AIDS
  • Blind or low vision
  • Cancer (past or present)
  • Cardiovascular or heart disease
  • Celiac disease
  • Cerebral palsy
  • Deaf or serious difficulty hearing
  • Diabetes
  • Disfigurement, for example, disfigurement caused by burns, wounds, accidents, or congenital disorders
  • Epilepsy or other seizure disorder
  • Gastrointestinal disorders, for example, Crohn's Disease, irritable bowel syndrome
  • Intellectual or developmental disability
  • Mental health conditions, for example, depression, bipolar disorder, anxiety disorder, schizophrenia, PTSD
  • Missing limbs or partially missing limbs
  • Mobility impairment, benefiting from the use of a wheelchair, scooter, walker, leg brace(s) and/or other supports
  • Nervous system condition, for example, migraine headaches, Parkinson’s disease, multiple sclerosis (MS)
  • Neurodivergence, for example, attention-deficit/hyperactivity disorder (ADHD), autism spectrum disorder, dyslexia, dyspraxia, other learning disabilities
  • Partial or complete paralysis (any cause)
  • Pulmonary or respiratory conditions, for example, tuberculosis, asthma, emphysema
  • Short stature (dwarfism)
  • Traumatic brain injury
Select...

PUBLIC BURDEN STATEMENT: According to the Paperwork Reduction Act of 1995 no persons are required to respond to a collection of information unless such collection displays a valid OMB control number. This survey should take about 5 minutes to complete.