San Francisco, California, United States · Hybrid
$85k–$100k/yr
About Frec: Our mission is to help create enduring wealth. To do this, we don't promise shortcuts or magic strategies. We respect the realities of investing as it actually works, and challenge the long-standing assumptio…
Skills: FINRA Compliance, SEC Compliance, Marketing Review, Regulatory Reporting, Risk Management
San Francisco, California, United States · On-site
$150k–$200k/yr
About Frec Our mission is to help create enduring wealth. To do this, we don't promise shortcuts or magic strategies. We respect the realities of investing as it actually works, and challenge the long-standing assumption…
Skills: Growth Product Management, Customer Acquisition, Funnel Analysis, A/B Testing, CAC Optimization
San Francisco, California, United States · On-site
$130k–$160k/yr
About Frec Our mission is to help create enduring wealth. To do this, we don't promise shortcuts or magic strategies. We respect the realities of investing as it actually works, and challenge the long-standing assumption…
Skills: Customer Acquisition, Growth Product Management, Funnel Analysis, Data Analysis, Written Communication
San Francisco, California, United States • Hybrid
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The Compliance Officer reviews marketing and advertising materials to ensure alignment with FINRA and SEC standards. They also support the new account opening process and assist in maintaining Written Supervisory Procedures.
Candidates must hold active SIE, Series 7, and Series 24 licenses with 4-7 years of experience, preferably in fintech or wealthtech. A degree from an accredited university is preferred along with proficiency in brokerage platforms.
About Frec:
Our mission is to help create enduring wealth. To do this, we don't promise shortcuts or magic strategies. We respect the realities of investing as it actually works, and challenge the long-standing assumption that returns and taxes belong in separate conversations. By building tax-aware investment tools once reserved for the ultra-wealthy, Frec empowers investors to hold onto more of what they earn.
In the last year, Frec has been growing exponentially – 50% QoQ growth with over $1B+ in customer assets. We raised our Series A with Greylock Partners and have an impressive list of other funds and angel investors backing our company. If you’re looking to join a fast-growing team with high potential, Frec could be the place for you. Learn more about Frec as a company at www.frec.com.
Please visit frec.com to learn more about us.
The role:
The Compliance Officer is an integral member of Frec's small but growing compliance function, reporting directly to the Chief Compliance Officer. This role sits at the intersection of day-to-day operational compliance and regulatory integrity, supporting both our Broker-Dealer and Registered Investment Adviser entities.
In this role, you'll be hands-on from day one, reviewing and approving marketing and advertising materials to ensure alignment with FINRA Rule 2210 and SEC 206(4)-1 standards, and supporting the new account opening process to ensure proper documentation, suitability, and regulatory requirements are met. You'll work closely with the CCO to help maintain a compliance program that is thorough, defensible, and scalable as Frec grows.
Since we're a growing team, we need someone who takes ownership, pays attention to the details, and understands what it means to operate in a regulated financial services environment where getting it right matters.
What you bring:
FINRA Licenses: SIE, Series 7 & 24 (active and in good standing)
4-7 years experience, preferably at a fintech/wealthtech
Proficient with using brokerage platforms and Microsoft Office suite (Word and Excel)
Degree from an accredited university or significant relevant experience preferred
Ability to work in a fast-paced, changing environment
An attention to detail and solution oriented thinking
Excellent communication and interpersonal skills
What you’ll do:
Review and approve marketing, advertising, and client-facing materials for FINRA and SEC compliance using Hadrius tool
Assist with quarterly employee personal trading, OBA, and gifts and entertainment review
Support the new account opening process, ensuring all documentation and regulatory requirements are satisfied
Assist with cash transfer review and SARS filings
Assist in maintaining and updating Written Supervisory Procedures (WSPs) and compliance policies
Help monitor for regulatory developments and assess their impact on Frec's BD and RIA programs
Partner with the CCO on exam readiness and regulatory inquiries
Location:
Remote (based in the US) with the willingness to travel to San Francisco for a week 2 - 4 times per year for onsite events.
Salary:
Remote in USD per year is: $85,000 - $100,000 USD.
Tax-efficient index investing, starting at just 0.09%.
We believe everyone deserves access to better and smarter ways to manage their money. At Frec, we are transforming complex financial products that have traditionally only been available through wealth advisors into automated, easy-to-use technology. Get more with direct indexing. Borrow against your portfolio with lines of credit. Earn high interest on your cash with Treasury. Our goal is for you to reach financial independence. Disclosures: https://docs.frec.com/social-media-disclosure.pdf
Offices: San Francisco, US
View all jobs at FrecTax-efficient index investing, starting at just 0.09%.
We believe everyone deserves access to better and smarter ways to manage their money. At Frec, we are transforming complex financial products that have traditionally only been available through wealth advisors into automated, easy-to-use technology. Get more with direct indexing. Borrow against your portfolio with lines of credit. Earn high interest on your cash with Treasury. Our goal is for you to reach financial independence. Disclosures: https://docs.frec.com/social-media-disclosure.pdf
Offices: San Francisco, US
View all jobs at Frec