tZERO Group, Inc.

Compensation

Full Description

Who We Are tZERO Securities is a pioneer in the digital securities industry, committed to revolutionizing capital markets through innovative technology and robust regulatory compliance. We are seeking a diligent and proactive Associate Compliance Officer to join our dynamic team and contribute to our mission of building trusted and efficient financial ecosystems. Position Summary - Associate Compliance Officer The Associate Compliance Officer at tZERO Securities plays a crucial role in ensuring the company's continuous adherence to regulatory responsibilities. This individual will be responsible for various aspects of tZERO’s compliance protocols and procedures, working closely with the Chief Compliance Officer (CCO) and other internal partners. The role involves critical compliance activities, including risk assessments, monitoring, and reporting, to uphold the highest standards of governance and control. Key Responsibilities • Coordinate responses to audits, regulatory inquiries and ongoing monitoring activities from financial institutions • Conduct compliance testing & monitoring, including matters involving BSA/AML • Perform electronic communications review • Process personal account disclosure and pre-clearance forms • Review employee certification documents on an annual basis and action accordingly • Perform Ad hoc reporting and complete projects related to data reconciliation • Assist in streamlining workflows and document utilizing schematics • Review reported outside business activities and private investments and perform conflict checks • Perform personal trading surveillance to ensure compliance with our personal trading policy. • Help prepare and track regulatory filings (e.g. Form ATS and ATS-R) • Develop and deliver Annual Compliance training • Collaborate with operations, finance and IT departments on various projects. • Manage and liaise with third-party vendors supporting compliance (e.g., trade surveillance tools, compliance technology platforms, employee compliance tracking software) Qualifications • 3-5 years of relevant experience in a compliance role, preferably within the financial services or digital securities industry. • Active FINRA Series 7 license. • Strong understanding of regulatory frameworks relevant to broker-dealers (e.g., SEC, FINRA rules). • Demonstrated ability to perform detailed risk assessments and develop effective monitoring strategies. • Ability to independently prioritize and manage multiple projects in a deadline-driven environment • Excellent analytical, problem-solving, and communication skills. • Proficiency in compliance management software and data analysis tools. Preferred Qualifications • Series 24 and 57 licenses or willingness to take the exams. • Experience with blockchain technology or digital asset compliance. • Bachelor’s Degree Equal Employment Opportunity It is our policy to provide equal employment opportunity for all applicants and associates. This policy includes our commitment to ensure that all employment decisions are made without regard to race, color, religion, gender, national origin, disability, pregnancy, veteran status (including Vietnam era veterans), age, sexual orientation, gender identity, or any other non-job-related characteristic protected by law.