Principal Associate Compliance

This position is listed on behalf of a partner company, which manages all applications and next steps. Our partner is looking for a Principal Associate Compliance based in the United States.

Join a forward-thinking financial technology environment at the intersection of digital assets, securities, and regulatory innovation. In this role, you will help oversee and strengthen the compliance framework of a U.S. broker-dealer, ensuring adherence to applicable FINRA, SEC, and state regulations. You will play a key role in compliance monitoring, risk assessments, surveillance, regulatory reporting, and the continuous improvement of internal controls. Working closely with compliance leadership and cross-functional teams, you will address emerging risks, oversee marketing communications, and support regulatory examinations and audits. You will also contribute to employee onboarding, compliance education, and the development of effective supervisory procedures. This fully remote opportunity is ideal for an experienced compliance professional who combines regulatory expertise, strategic thinking, and a strong interest in the evolving digital asset industry.