Investment Advisor Compliance and Operational Risks Controls Manager at Moment

New York, New York, United States

Apply Now

Not SpecifiedCompensation

Senior (5 to 8 years)Experience Level

Full TimeJob Type

UnknownVisa

Fintech, Financial ServicesIndustries

Requirements

5+ years experience in securities clearing and settlement processes
Deep understanding of Investment Advisors Compliance statutory and regulatory requirements
Familiarity with trading processes (fixed income ++)
A high standard, for yourself and others, when working in a trading technology environment
Effective communication skills — ask questions, assume good intentions, default to transparency, rigor and empathy that help you thrive in a collaborative and high-performance environment

Responsibilities

Serving as the chief compliance officer of Moment Advisors
Working closely with Moment Advisors’ management to advise on investment advisory regulatory matters
Working closely with the engineering teams to build and maintain the Portfolio Management System, and in particular:
Developing an investment compliance framework
Designing, building, and maintaining a framework of controls to monitor compliance risks
Representing Moment in discussions with counterparties and regulators about our framework of risk controls

Skills

Key technologies and capabilities for this role

ComplianceOperational RiskRisk ControlsFixed IncomeRegulatory ComplianceRisk Management

Questions & Answers

Common questions about this position

Is this role remote or in-office?

This is a full-time in-person role based in NYC.

What experience is required for this position?

Candidates need 5+ years experience in securities clearing and settlement processes, deep understanding of Investment Advisors Compliance statutory and regulatory requirements, familiarity with trading processes (especially fixed income), a high standard in a trading technology environment, and effective communication skills.

What is the salary or compensation for this role?

This information is not specified in the job description.

What are the benefits offered for this position?

This information is not specified in the job description.

What makes a strong candidate for this role?

A strong candidate will have 5+ years in securities clearing and settlement, deep compliance knowledge for investment advisors, fixed income trading familiarity, high standards in trading tech environments, and strong communication skills emphasizing transparency, rigor, and empathy.

Moment

E-commerce platform for photography gear

About Moment

Moment is an e-commerce platform that provides a wide range of high-quality gear for photographers and filmmakers. The products available include cameras, lenses, accessories, and other essential tools for visual storytelling. Moment's marketplace caters to both amateur and professional visual artists, helping them enhance their craft with top-notch equipment. The company stands out from its competitors by offering a lifetime warranty on its products, free worldwide shipping, and 24/7 customer service from professional guides. These features are designed to build customer loyalty and ensure a superior shopping experience. Moment's primary goal is to attract and retain a dedicated customer base by providing exceptional products and services, ultimately fostering satisfaction and encouraging repeat purchases.

Seattle, WashingtonHeadquarters

2014Year Founded

$6.1MTotal Funding

EARLY_VCCompany Stage

Consumer Software, Consumer GoodsIndustries

11-50Employees

Benefits

Flexible work hours, with the option to work in-person at NYC or Miami offices

The chance to work on a world-class team of former founders and engineers who have scaled companies to >$7.5b in value

Very competitive salary

Equity and token allocation

Unlimited PTO

401k & top-tier health insurance benefits (equivalent to Big Tech companies coverage for Medical, Dental & Vision)

Occasional paid travel costs to events and off-sites

Risks

Smartphone camera improvements reduce the need for external lenses like Moment's.

Patreon's acquisition may lead to strategic shifts alienating existing customers.

Economic downturns could negatively impact sales of high-end photography gear.

Differentiation

Moment offers a lifetime warranty and free worldwide shipping on products.

The company provides 24/7 customer service from professional guides.

Moment's T-Series lenses enhance mobile photography with unique perspectives.

Upsides

Growing demand for mobile photography accessories boosts Moment's market potential.

Patreon's acquisition offers opportunities for cross-promotion and platform integration.

Rising interest in hybrid analog-digital photography supports Moment's 3D camera innovation.

Land your dream remote job 3x faster with AI

Try Jobo Free