Brex is revolutionizing financial services for businesses, starting with corporate cards for startups. We are building the product from first principles, enabling us to have unparalleled features and a seamless, modern experience for our customers. With backing from top venture firms and industry veterans such as Peter Thiel and Max Levchin, Brex is one of the fastest-growing startups to date, and we’re looking for someone to help scale the company with incredible people across the board.

Based in San Francisco, our team is committed to creating a driven and diverse company with ambitious people from wide-ranging backgrounds. We are looking for people with a strong sense for exceptional products, a keen eye to detail, and comfort learning new technologies. Most importantly, we’re looking for people who are enthusiastic about working with a variety of backgrounds, roles, and needs.

The Legal and Compliance team makes critical decisions that impact both product development and company direction. Judgment, competence, empathy, ability to collaborate within and across functions, and a good sense of humor are essential to success on our team. Working in a fast-growing FinTech startup also demands that we are problem solvers and comfortable operating in a rapidly-changing environment. As the Compliance Officer for Brex Cash you will build out and manage the broker/dealer’s day-to-day compliance infrastructure and tasks, assisting Brex Treasury’s CCO in keeping the firm in compliance.

What You’ll Do

• Partner with Chief Compliance Officer for SEC and FINRA compliance tasks and other assigned projects
• Advance the company’s policies related to the day to day business of a broker-dealer and provide compliance training and support to the organization
• Perform advertising and marketing reviews; when required upload to FINRA WebCRD for review and approval
• Perform email reviews utilizing Global Relay; review for customer complaints and registered personnel adherence to email rules
• Ensure compliance with Anti-Money Laundering regulations in conjunction with Legal
• Ensure Written Supervisory Procedures are kept up to date and align with actual procedures
• Update and maintain necessary documentation for FINRA and SEC regulatory audits and internal reviews
• Keep key partners apprised of new and proposed FINRA rules and actions
• Work with the CCO to advance the firm’s supervisory practices and internal controls
• Other duties as assigned; some travel may be required

What We Value

• BS/BA degree preferred
• 5+ years of broker/dealer compliance experience (ideally in a combination of technology, financial services, and/or regulatory environments)
• Knowledge of broker/dealer compliance tools (Global Relay, FINRA’s WebCRD, LexisNexis, etc.)
• Ability to work across teams, including engineering, marketing, sales and legal
• Excellent analytical, problem-solving, project management, and risk management skills
• Outstanding judgment and integrity, ability to balance complex matters independently and thrive in dynamic, fast-growing environments
• Willingness to take ownership of projects
• Focused on helping Brex build financial products that align with its core values
• Series 63, 7 and 24 required