Company Detail

DriveWealth
Member Since,
Login to View contact details
Login

About Company

Job Openings

  • Senior Data Analyst, RegTech  

    - New York City
    About Us DriveWealth is on a mission to make investing easier. We bel... Read More
    About Us DriveWealth is on a mission to make investing easier. We believe that everyone should have the ability to control their financial future, and that access to financial markets should not be limited by geography, wealth, or legacy systems. We are a global B2B financial technology organization dedicated to democratizing access to financial independence around the world. Our mission is realized through an API-based platform, empowering our partners to offer seamless investing and trading experiences to clients worldwide, all from their mobile devices. Our technology provides partners with a modern, extensible toolkit, enabling traditional investment workflows and innovative techniques like fractional share ownership. DriveWealth has evolved into a global platform offering trading of US equities, mutual funds, ETFs, fixed income, and options. There's never been a better time to build a category-defining business and there has rarely been a team better positioned for this opportunity. Our culture blends the pace and agility of a fintech start-up with the impact, stability, and discipline of Wall Street. We encourage creativity and experimentation while ensuring institutional-grade execution and regulatory compliance in everything we do. Join us and help build the future of global investing! About The Role: The RegTech team at DriveWealth develops data products essential for our compliance department to meet all regulatory obligations. We are seeking a Senior Data Analyst to focus on the creation, maintenance, and monitoring of highly curated data marts, feeds, and dashboards for both internal compliance and external regulatory reporting. The ideal candidate must possess a deep understanding of the trade lifecycle and have a proven track record of collaboration with data engineers, product managers, and regulatory stakeholders. The role entails ownership of data quality, including defining quality standards, developing and implementing comprehensive testing strategies, and establishing robust data governance frameworks to ensure accuracy, integrity, and compliance across all regulatory data assets. What You'll Do: * Support Ad-Hoc Inquiries and Regulatory Exams: Respond quickly and accurately to ad-hoc data requests and regulatory examination inquiries from Compliance and Legal teams, providing data and analysis as needed. * Own the Regulatory and Supervisory Data Layer: Architect, build, and maintain data marts and Sigma reports used for critical regulatory functions (e.g., CAT, EBS, trade monitoring, AML) and internal compliance supervisory monitoring, ensuring consistent, accurate outputs delivered quickly through efficient code with robust testing and verification. * Drive Optimization and Efficiency: Continuously evaluate and optimize data models, SQL queries, and Sigma reports for performance, cost-efficiency, and scalability, contributing to a best-in-class RegTech data infrastructure * Proactively Detect and Report Upstream Data Anomalies: Establish monitoring and alerting to proactively detect, analyze, and escalate upstream data anomalies and pipeline failures, providing daily exception reports to upstream data producers. * Own the Business Logic Layer: Define, implement, and rigorously document the core business logic and transformations within the data marts to ensure accurate calculation and aggregation for all regulatory and supervisory metrics * Monitor Inbound Regulatory Files and Feeds: Establish and maintain robust monitoring for all critical inbound regulatory data files and real-time feeds, ensuring timely arrival, data quality, and correct ingestion into the data ecosystem. * Translate Regulation to Data: Work directly with business partners and Compliance to translate new regulatory rules, changes, and reporting obligations into precise analytics engineering requirements and data flows. * Lead Comprehensive Data Testing: Team with QA to architect and implement a rigorous, automated testing framework, including building and maintaining dbt data tests to validate transformation logic and data integrity, developing unit tests for all critical business logic, and establishing automated regression testing to ensure zero defect releases for all regulatory data products. What You'll Need * Deep domain knowledge in FinTech/Capital Markets, including a strong understanding of the trade/order lifecycle (Orders, Executions, Allocations) and US regulatory reporting requirements. * Proven deep experience implementing, maintaining, and monitoring data for core regulatory processes (e.g., CAT, EBS, trade monitoring, AML). * Experience working within a larger data team, balancing ideating on solutions, creating output, writing verification tests, and reviewing others' work. * Fluent in SQL. * Experience with building business intelligence reports (Sigma Computing is preferred) Bonus points for * Python (Jupyter Notebooks) * DBT * NoSQL and semi-structured data * Familiarity with Databricks, AWS, Airflow, GitHub, and Agile development * Experience documenting and maintaining procedures for regulatory purposes. Compensation package offerings are based on candidate experience and technical qualifications, as it relates to the role. These are identified and determined throughout your interviewing experience. Please note: this role is expected to come into our office on a cadence set by the Hiring Manager/Team. New York, NY (Hybrid) Pay Range $150,000 - $180,000 USD Working at DriveWealth We do our best work when we're in the same room. To maintain the speed our partners expect, our New York, Chicago, and Lithuania teams work in-office 4 days a week. We've found that being physically side-by-side is the only way to solve complex problems in real-time and stay truly accountable to the products we ship. When you're here, you're working directly with the people making the decisions. To support that work, we provide competitive compensation, equity, and a 401(k) match. We also offer full insurance coverage, a wellness reimbursement, a company-provided phone, and a personal development allowance. Finally, we value the time you spend away from the office with generous PTO, observed holidays, and extended leave. Work Authorization Applicants must possess the legal right to work in the country where the position is located at the time of application. DriveWealth requires all employees to provide original documentation verifying their work authorization on or before their first day of employment. For US-based roles: Applicants must be currently authorized to work in the United States on a full-time basis without the need for current or future visa sponsorship. DriveWealth does not provide visa sponsorship or support for employment authorization, including transfers, at this time. Offers of employment are strictly contingent upon an individual's ability to secure and maintain the legal right to work at the Company. How We Think About AI We leverage AI to work smarter and move faster. We seek AI-curious talent who are proactive about using emerging tools to increase signal quality, reduce friction, and improve outcomes to deliver products faster, provide better service to our partners, and to streamline processes. Your ability to leverage our internal tools and technology to drive results is as important to us as your core domain expertise. Compensation Pay is generally based on the level, complexity, responsibility, location, and job duties/requirements of the specific position. We then source candidates with the requisite skills, expertise, education, training, and experience. If you are selected for an interview, please feel welcome to speak to a recruiter about our compensation philosophy and other available benefits. This role is eligible for base, bonus, equity, 401(k) match, and heavily subsidized benefits and perks. Equal Employment Opportunity To build technology and products that are used and loved by people and solve real-world problems, we need to build a team with many different perspectives and experiences. We are an equal opportunity employer. We do not discriminate based on race, religion, color, national origin, gender, sexual orientation, age, marital status, veteran status, or disability status. We encourage candidates from all backgrounds to apply. Agency Disclaimer DriveWealth does not accept agency resumes. Do not forward resumes to our jobs alias, employees, or any other organization location. DriveWealth is not responsible for any fees related to unsolicited resumes. Create a Job Alert Interested in building your career at DriveWealth? Get future opportunities sent straight to your email. Create alert Apply for this job * indicates a required field Autofill with MyGreenhouse Read Less
  • Head of Risk Management  

    - New York City
    About Us DriveWealth is on a mission to make investing easier. We bel... Read More
    About Us DriveWealth is on a mission to make investing easier. We believe that everyone should have the ability to control their financial future, and that access to financial markets should not be limited by geography, wealth, or legacy systems. We are a global B2B financial technology organization dedicated to democratizing access to financial independence around the world. Our mission is realized through an API-based platform, empowering our partners to offer seamless investing and trading experiences to clients worldwide, all from their mobile devices. Our technology provides partners with a modern, extensible toolkit, enabling traditional investment workflows and innovative techniques like fractional share ownership. DriveWealth has evolved into a global platform offering trading of US equities, mutual funds, ETFs, fixed income, and options. There's never been a better time to build a category-defining business and there has rarely been a team better positioned for this opportunity. Our culture blends the pace and agility of a fintech start-up with the impact, stability, and discipline of Wall Street. We encourage creativity and experimentation while ensuring institutional-grade execution and regulatory compliance in everything we do. Join us and help build the future of global investing! About the Role As the Head of Enterprise Risk Management (ERM) at DriveWealth, you will serve as the architect of a world-class risk infrastructure for the pioneer of "Brokerage-as-a-Service." In an era where financial services are increasingly embedded and API-driven, your role is to ensure that our global expansion is supported by a sophisticated, scalable, and resilient risk ecosystem. This is a high-impact leadership role requiring a candidate who can bridge the gap between traditional brokerage risk and the future of digital assets. You will lead the operational risk and financial risk focus areas, translating the complexities of fractional equities, stock loan activities, and liquidity management into a cohesive Enterprise Risk Management framework. You are not just monitoring risk; you are enabling sustainable innovation by providing the Chief Risk and Compliance Officer and Executive Management with the clarity needed to navigate volatile global markets. What You'll Do * Framework Design: Establish and iterate on the firm-wide ERM program, including the enhancement of the Risk Appetite Statements and associated tolerance thresholds. * Risk Lifecycle Management: Standardize and lead core ERM components: Risk & Control Self-Assessments (RCSAs), Risk Policy creation, and a centralized Issue Management framework. * Control Assurance: Design and oversee a rigorous control assurance program to validate the effectiveness of risk mitigants across all business units, coordinate external SOC and ICOC assessments. * Reporting: Develop sophisticated Key Risk Indicators (KRIs) and executive-level dashboards to provide real-time transparency into the firm's risk posture. * Liquidity Risk: Oversee the firm's liquidity risk management framework, ensuring compliance with SEC Rule 15c3-1 and maintaining resilience during idiosyncratic or market-wide stress events. * Margin & Credit Risk: Monitor and set parameters for margin lending, focusing on concentration risk, volatility-based margin adjustments, and the management of unsecured debits. * Stock Loan & Trading Risk: Provide 2LoD oversight for Securities Lending (Stock Loan) activities and principal trading risks associated with fractional share fulfillment. * Risk Operations: Build and lead the risk operations functional area, including vendor risk management, partner and client due diligence. You Bring * Experience: 10-15 years in Risk Management, with a minimum of 5 years in a senior leadership capacity at a FINRA-registered Broker-Dealer or adjacent financial technology firm. * Financial Mastery: Proven track record in managing Liquidity, Margin, and Trading risk is essential. * Licensing: Relevant FINRA licenses (e.g., Series 7, 24) are highly preferred; Series 4 or 9/10 is a significant plus. * Mindset: An "owner" mentality with the ability to build from the ground up in a fast-paced, high-growth environment. * Digital Asset Expertise (Bonus): Direct experience or deep theoretical knowledge of Stablecoins and Crypto risk, including custodial risk, settlement finality, and 24/7 liquidity challenges. * Options Proficiency (Nice-to-Have): Familiarity with the risk profiles of equity options, including the monitoring of Greeks, multi-leg strategy exposures, and specialized margin requirements. New York, NY Pay Range $275,000 - $325,000 USD Working at DriveWealth We do our best work when we're in the same room. To maintain the speed our partners expect, our New York and Chicago teams work in-office 4 days a week. We've found that being physically side-by-side is the only way to solve complex problems in real-time and stay truly accountable to the products we ship. When you're here, you're working directly with the people making the decisions. To support that work, we provide competitive compensation, equity, and a 401(k) match. We also offer full insurance coverage, a wellness reimbursement, a company-provided phone, and a personal development allowance. Finally, we value the time you spend away from the office with generous PTO, observed holidays, and extended leave. Work Authorization Applicants must possess the legal right to work in the country where the position is located at the time of application. DriveWealth requires all employees to provide original documentation verifying their work authorization on or before their first day of employment. For US-based roles: Applicants must be currently authorized to work in the United States on a full-time basis without the need for current or future visa sponsorship. DriveWealth does not provide visa sponsorship or support for employment authorization, including transfers, at this time. Offers of employment are strictly contingent upon an individual's ability to secure and maintain the legal right to work at the Company. How We Think About AI We leverage AI to work smarter and move faster. We seek AI-curious talent who are proactive about using emerging tools to increase signal quality, reduce friction, and improve outcomes to deliver products faster, provide better service to our partners, and to streamline processes. Your ability to leverage our internal tools and technology to drive results is as important to us as your core domain expertise. Compensation Pay is generally based on the level, complexity, responsibility, location, and job duties/requirements of the specific position. We then source candidates with the requisite skills, expertise, education, training, and experience. If you are selected for an interview, please feel welcome to speak to a recruiter about our compensation philosophy and other available benefits. This role is eligible for base, bonus, equity, 401(k) match, and heavily subsidized benefits and perks. Equal Employment Opportunity To build technology and products that are used and loved by people and solve real-world problems, we need to build a team with many different perspectives and experiences. We are an equal opportunity employer. We do not discriminate based on race, religion, color, national origin, gender, sexual orientation, age, marital status, veteran status, or disability status. We encourage candidates from all backgrounds to apply. Agency Disclaimer DriveWealth does not accept agency resumes. Do not forward resumes to our jobs alias, employees, or any other organization location. DriveWealth is not responsible for any fees related to unsolicited resumes. Create a Job Alert Interested in building your career at DriveWealth? Get future opportunities sent straight to your email. Create alert Apply for this job * indicates a required field Autofill with MyGreenhouse Read Less
  • Head of Marketing  

    - New York City
    About Us DriveWealth is on a mission to make investing easier. We bel... Read More
    About Us DriveWealth is on a mission to make investing easier. We believe that everyone should have the ability to control their financial future, and that access to financial markets should not be limited by geography, wealth, or legacy systems. We are a global B2B financial technology organization dedicated to democratizing access to financial independence around the world. Our mission is realized through an API-based platform, empowering our partners to offer seamless investing and trading experiences to clients worldwide, all from their mobile devices. Our technology provides partners with a modern, extensible toolkit, enabling traditional investment workflows and innovative techniques like fractional share ownership. DriveWealth has evolved into a global platform offering trading of US equities, mutual funds, ETFs, fixed income, and options. There's never been a better time to build a category-defining business and there has rarely been a team better positioned for this opportunity. Our culture blends the pace and agility of a fintech start-up with the impact, stability, and discipline of Wall Street. We encourage creativity and experimentation while ensuring institutional-grade execution and regulatory compliance in everything we do. Join us and help build the future of global investing! About the Role DriveWealth is seeking a Head of Marketing to own the company's full external presence and growth marketing function. We're scaling globally, our platform is expanding across asset classes and geographies, and the market conversation around embedded investing infrastructure is accelerating. We need someone who thinks in platforms and products, someone who can build a marketing engine that drives partner acquisition, deepens brand authority, and positions DriveWealth as the category-defining infrastructure layer in global fintech. This role spans product marketing, growth strategy, and brand. You will bring a data-informed approach to go-to-market planning, digital channel optimization, earned media, and executive visibility. You'll lead a small team, manage agency and vendor relationships, and serve as a strategic marketing partner to the CEO and executive leadership. The right candidate has built marketing programs at global platform scale, understands how financial products work, and knows how to translate complex technical infrastructure into narratives that win partners, press, and markets. This role is based in DriveWealth's headquarters in New York City, NY. Growth Marketing & Digital * Design and execute a data-driven growth marketing strategy across owned and paid digital channels, with clear KPIs tied to partner pipeline and platform adoption * Own the corporate website as a business development asset, overseeing content strategy, SEO, messaging hierarchy, conversion optimization, and ongoing performance * Develop thought leadership content and distribution strategies that build DriveWealth's authority in embedded finance, fintech infrastructure, and global markets * Establish marketing analytics infrastructure: define reporting frameworks, attribution models, and the metrics that connect marketing activity to revenue outcomes Media & Public Relations * Develop and execute proactive earned media strategies aligned with business priorities across financial services, fintech, business, and technology press * Build and manage DriveWealth's executive visibility program, including CEO profiling, podcast and broadcast placement, and thought leadership positioning * Direct the media agency relationship, including press releases, briefing materials, spokesperson preparation, and crisis communications protocols * Secure and maintain coverage in top-tier U.S. and international outlets; manage the full media calendar with discipline and commercial intent Events, Sponsorships & Partner Marketing * Develop and manage DriveWealth's annual events and sponsorship strategy, including owned events, third-party conferences, and partner-facing activations that generate pipeline * Build co-marketing programs with strategic partners that extend DriveWealth's reach across their partner ecosystems * Manage the firm's awards and recognition strategy, overseeing nominations across business, industry, and workplace categories Leadership & Cross-Functional Partnership * Lead and develop a small, high-performing marketing team; manage agency, freelance, and vendor relationships with clear accountability and performance standards * Serve as a strategic marketing partner to the CEO and executive leadership on positioning, messaging, and market presence * Partner with Internal Communications to ensure cohesion across internal and external messaging, social media, and executive communications * Collaborate across Sales, Product, Legal, and Finance with credibility and influence, translating business priorities into marketing execution You Bring * 12+ years of progressive marketing leadership experience, with a track record that spans both technology platforms and financial services; you've built programs at scale and in regulated environments * Active FINRA Series 24 license * Strong product marketing instincts: you've taken complex, technical products to market and made them land with the audiences that matter * A growth marketing orientation; you are experienced in digital channels, performance metrics, and the analytics that connect marketing activity to pipeline and revenue * Experience leading marketing at global scale, with an understanding of how brand and product narratives must adapt across markets and geographies * Strong strategy and operations instincts: you've worked at the intersection of marketing and business strategy and know how to build the systems and processes that make teams perform * Financial services fluency; you understand how capital markets, trading infrastructure, or financial products work and can engage credibly with partners, press, and regulators * Experience in earned media and executive visibility programs; comfort supporting and preparing C-suite leaders for high-stakes media moments * The ability to lead cross-functionally across Sales, Product, Legal, and Finance, credibly and without formal authority * Exceptional written and verbal communication skills; high editorial standards and an instinct for the right narrative at the right moment * A bias toward transparency, accountability, and responsiveness; you close loops, you follow through, and you hold your team to the same standard * A team-first orientation; you elevate the people around you and believe the best outcomes are built collectively * Unimpeachable integrity, sound judgment, and genuine respect for risk, control, and regulatory context New York, NY Pay Range $325,000 - $360,000 USD Working at DriveWealth We do our best work when we're in the same room. To maintain the speed our partners expect, our New York and Chicago teams work in-office 4 days a week. We've found that being physically side-by-side is the only way to solve complex problems in real-time and stay truly accountable to the products we ship. When you're here, you're working directly with the people making the decisions. To support that work, we provide competitive compensation, equity, and a 401(k) match. We also offer full insurance coverage, a wellness reimbursement, a company-provided phone, and a personal development allowance. Finally, we value the time you spend away from the office with generous PTO, observed holidays, and extended leave. Work Authorization Applicants must possess the legal right to work in the country where the position is located at the time of application. DriveWealth requires all employees to provide original documentation verifying their work authorization on or before their first day of employment. For US-based roles: Applicants must be currently authorized to work in the United States on a full-time basis without the need for current or future visa sponsorship. DriveWealth does not provide visa sponsorship or support for employment authorization, including transfers, at this time. Offers of employment are strictly contingent upon an individual's ability to secure and maintain the legal right to work at the Company. How We Think About AI We leverage AI to work smarter and move faster. We seek AI curious talent who are proactive about using emerging tools to increase signal quality, reduce friction and improve outcomes to deliver product faster, provide better service to our partners, and to streamline processes. Your ability to leverage our internal tools and technology to drive results is as important to us as your core domain expertise. Compensation Pay is generally based upon the level, complexity, responsibility, location and job duties / requirements of the specific position. We then source candidates with the requisite skills, expertise, education, training, and experience. If you are selected for an interview, please feel welcome to speak to a recruiter about our compensation philosophy and other available benefits. This role is eligible for base, bonus, equity, 401(k) match, and heavily subsidized benefits and perks. Equal Employment Opportunity To build technology and products that are used and loved by people and solve real-world problems, we need to build a team with many different perspectives and experiences. We are an equal opportunity employer. We do not discriminate on the basis of race, religion, color, national origin, gender, sexual orientation, age, marital status, veteran status, or disability status. We encourage candidates from all backgrounds to apply. Applicants in need of special assistance or accommodation during the interview process or in accessing our website may contact us at recruiting@drivewealth.com. Agency Disclaimer DriveWealth does not accept agency resumes. Do not forward resumes to our jobs alias, employees, or any other organization location. DriveWealth is not responsible for any fees related to unsolicited resumes. Create a Job Alert Interested in building your career at DriveWealth? Get future opportunities sent straight to your email. Create alert Apply for this job * indicates a required field Autofill with MyGreenhouse Read Less
  • Head of Talent Acquisition  

    - New York City
    About Us DriveWealth is on a mission to make investing easier. We bel... Read More
    About Us DriveWealth is on a mission to make investing easier. We believe that everyone should have the ability to control their financial future, and that access to financial markets should not be limited by geography, wealth, or legacy systems. We are a global B2B financial technology organization dedicated to democratizing access to financial independence around the world. Our mission is realized through an API-based platform, empowering our partners to offer seamless investing and trading experiences to clients worldwide, all from their mobile devices. Our technology provides partners with a modern, extensible toolkit, enabling traditional investment workflows and innovative techniques like fractional share ownership. DriveWealth has evolved into a global platform offering trading of US equities, mutual funds, ETFs, fixed income, and options. There's never been a better time to build a category-defining business and there has rarely been a team better positioned for this opportunity. Our culture blends the pace and agility of a fintech start-up with the impact, stability, and discipline of Wall Street. We encourage creativity and experimentation while ensuring institutional-grade execution and regulatory compliance in everything we do. Join us and help build the future of global investing! Overview We are looking for a Head of Talent to architect and scale our recruiting engine. Reporting to the Chief People Officer, you will approach recruiting as a systems problem, building the frameworks, AI tools, and operational rigor required to consistently land top-tier candidates. You will partner tightly with leaders across DriveWealth to define our hiring primitives, aggressively raise our talent density, and align headcount directly with our strategic objectives. Success means transforming talent acquisition into a predictable, high-performance engine to help us accelerate our growth plans. What You'll Do * Own the Talent Strategy: Partner directly with the C-suite to translate business objectives into a concrete, executable hiring plan. You will lead workforce planning and ensure we are positioned to compete for top talent across engineering, product, and go-to-market teams. * Build and Lead the Recruiting Team: Hire, mentor, and manage a high-performing team of recruiters and coordinators. Establish clear expectations, metrics, and a culture of accountability to deliver on our aggressive growth goals. * Modernize the Recruiting Stack: Bring our recruiting systems and workflows into the modern era. We want a leader who is practical and curious about using new tools, automation, and better data to streamline sourcing, improve reporting, and make the hiring process faster. * Establish a High Talent Bar: Roll out structured interview processes and objective assessment frameworks. Partner with business leaders to define what "great" looks like and ensure we are consistently raising the bar with every hire. * Streamline Hiring Operations: Fix broken processes and build scalable workflows from the ground up. Make it easier for hiring managers to evaluate talent and create a candidate experience that reflects the quality of our brand. * Develop our Employer Brand: Articulate and market our Employee Value Proposition (EVP). Build out our outbound sourcing strategies to proactively engage passive candidates rather than relying solely on inbound applicants. * Manage Risk and Compliance: Ensure all hiring policies, documentation, and onboarding protocols meet the strict regulatory requirements of a licensed broker-dealer, working closely with our Legal and Compliance teams. What Success Looks Like * Establish a clear and trusted hiring plan across the organization * Build a strong recruiting team aligned to company priorities * Improve the quality and consistency of hiring decisions * Modernize recruiting systems and workflows * Build credibility with executives and hiring managers as a trusted talent advisor * Begin strengthening DriveWealth's reputation in the talent market. You Bring * A demonstrated track record of leading global talent acquisition in a fast-paced, high-growth technology (preferably fintech or financial services) company. * A forward-thinking technologist with a deep understanding of how to leverage AI and automation to create a more efficient, effective, and equitable recruiting process. * Experience building and leading multi-tiered global recruiting teams, with a passion for mentoring and developing talent. You are a "talent magnet" who can attract and retain top recruiting professionals. * Deep expertise in using data and analytics to drive strategy and influence executive decisions. You can tell a compelling story with data and use it to predict future hiring needs. * You are a visionary leader who has experience working with abstract and complex challenges, and you have a gift for turning them into actionable strategies. * Proven ability to act as a trusted advisor and thought partner to senior executives, with the executive presence to influence and drive alignment at the highest levels of an organization. * You are a master of cross-functional collaboration, building influential partnerships with leaders in HR, Finance, and other functional business units. You design talent strategies with an "enterprise-first" approach, ensuring they scale and align with broader company objectives. * A growth mindset and a natural curiosity that drives you to continuously learn and challenge assumptions. You are a change agent who thrives in an agile environment and can lead teams through transformation. * You are customer-obsessed and have a passion for creating memorable experiences for candidates and internal stakeholders alike. Compensation package offerings are based on candidate experience and technical qualifications, as it relates to the role. These are identified and determined throughout your interviewing experience. Please note: this role is expected to come into our office on a cadence set by the Hiring Manager/Team. New York, NY or Chicago, IL (Hybrid) Pay Range $300,000-$325,000 USD Working at DriveWealth We do our best work when we're in the same room. To maintain the speed our partners expect, our New York, Chicago, and Lithuania teams work in-office 4 days a week. We've found that being physically side-by-side is the only way to solve complex problems in real-time and stay truly accountable to the products we ship. When you're here, you're working directly with the people making the decisions. To support that work, we provide competitive compensation, equity, and a 401(k) match. We also offer full insurance coverage, a wellness reimbursement, a company-provided phone, and a personal development allowance. Finally, we value the time you spend away from the office with generous PTO, observed holidays, and extended leave. Work Authorization Applicants must possess the legal right to work in the country where the position is located at the time of application. DriveWealth requires all employees to provide original documentation verifying their work authorization on or before their first day of employment. For US-based roles: Applicants must be currently authorized to work in the United States on a full-time basis without the need for current or future visa sponsorship. DriveWealth does not provide visa sponsorship or support for employment authorization, including transfers, at this time. Offers of employment are strictly contingent upon an individual's ability to secure and maintain the legal right to work at the Company. How We Think About AI We leverage AI to work smarter and move faster. We seek AI-curious talent who are proactive about using emerging tools to increase signal quality, reduce friction, and improve outcomes to deliver products faster, provide better service to our partners, and to streamline processes. Your ability to leverage our internal tools and technology to drive results is as important to us as your core domain expertise. Compensation Pay is generally based on the level, complexity, responsibility, location, and job duties/requirements of the specific position. We then source candidates with the requisite skills, expertise, education, training, and experience. If you are selected for an interview, please feel welcome to speak to a recruiter about our compensation philosophy and other available benefits. This role is eligible for base, bonus, equity, 401(k) match, and heavily subsidized benefits and perks. Equal Employment Opportunity To build technology and products that are used and loved by people and solve real-world problems, we need to build a team with many different perspectives and experiences. We are an equal opportunity employer. We do not discriminate based on race, religion, color, national origin, gender, sexual orientation, age, marital status, veteran status, or disability status. We encourage candidates from all backgrounds to apply. Agency Disclaimer DriveWealth does not accept agency resumes. Do not forward resumes to our jobs alias, employees, or any other organization location. DriveWealth is not responsible for any fees related to unsolicited resumes. Create a Job Alert Interested in building your career at DriveWealth? Get future opportunities sent straight to your email. Create alert Apply for this job * indicates a required field Autofill with MyGreenhouse Read Less
  • Head of Broker Dealer Compliance  

    - New York City
    About Us DriveWealth is on a mission to make investing easier. We bel... Read More
    About Us DriveWealth is on a mission to make investing easier. We believe that everyone should have the ability to control their financial future, and that access to financial markets should not be limited by geography, wealth, or legacy systems. We are a global B2B financial technology organization dedicated to democratizing access to financial independence around the world. Our mission is realized through an API-based platform, empowering our partners to offer seamless investing and trading experiences to clients worldwide, all from their mobile devices. Our technology provides partners with a modern, extensible toolkit, enabling traditional investment workflows and innovative techniques like fractional share ownership. DriveWealth has evolved into a global platform offering trading of US equities, mutual funds, ETFs, fixed income, and options. There's never been a better time to build a category-defining business and there has rarely been a team better positioned for this opportunity. Our culture blends the pace and agility of a fintech start-up with the impact, stability, and discipline of Wall Street. We encourage creativity and experimentation while ensuring institutional-grade execution and regulatory compliance in everything we do. Join us and help build the future of global investing! DriveWealth LLC is seeking a highly motivated and seasoned Broker Dealer Compliance leader in either our New York or Chicago office to support our multi-asset, fast-paced trading and clearing services environment. Reporting to the Chief Compliance Officer, you will lead initiatives to strengthen the firm's Level 2 compliance program across various product lines and markets. In this leadership role, you will provide expert guidance on complex regulatory matters including equities, options, trade reporting, margin requirements (FINRA Rule 4210), fully paid securities lending (FPSL) and other regulatory reporting areas. You will be responsible for the direct supervision of compliance staff while shaping firm-wide controls within an innovative and entrepreneurial culture. What You'll Do Team Leadership & Supervision * Direct Management: Supervise a team of compliance professionals, overseeing their daily activities, investigations, and professional development. * Workflow Oversight: Manage and re-prioritize team workloads to ensure multiple projects and regulatory deadlines are met simultaneously. * Quality Assurance: Review and approve detailed reports and surveillance investigations prepared by staff to ensure accurate summarization of issues and logical solutions. Regulatory Advisory & Operations * Business Advisory: Advise business units on regulatory obligations, new rule proposals, and firm policies. * Compliance Frameworks: Design, implement, and maintain effective compliance frameworks aligned with SEC, FINRA, NFA, and other regulatory obligations. * Policy Governance: Oversee the development and maintenance of Written Supervisory Procedures (WSPs) and provide compliance advisory guidance for Level 1 procedures. * Strategic Partnership: Proactively partner with business management, risk, and technology to ensure sound business operations and facilitate the firm's success. Monitoring & Surveillance * Level 2 Oversight: Independently perform and supervise Level 2 compliance reviews to ensure firm-wide adherence to internal standards. * Surveillance Logic: Enhance surveillance and monitoring frameworks by refining detection logic and identifying patterns in large trade datasets. * Regulatory Reporting: Develop and analyze data for Compliance management reports and provide periodic status updates on key issues. Examinations & Inquiries * Exam Leadership: Lead the firm's response to regulatory exams and inquiries from FINRA, SEC, NFA, CFTC, and other SROs. * Audit Support: Coordinate the collection of documentation and ensure timely follow-up for all regulatory inquiries. You Bring * Bachelor's Degree * 15+ years of Compliance, Legal, Regulatory, or Financial Services experience. * Deep understanding of rules governing broker-dealer activities, margin, securities finance, and derivatives. * Required FINRA Series 7 and 24; additional designations are a plus. * Strong ability to work with large trade datasets and translate complex requirements into practical control updates. * Excellent interpersonal and communication skills to interface with all levels of management and build effective relationships. Compensation package offerings are based on candidate experience and technical qualifications, as it relates to the role. These are identified and determined throughout your interviewing experience. Pay Range: $200,000 USD - $225,000 USD Please note: this role is expected to come into our office on a cadence set by the Hiring Manager/Team. Working at DriveWealth We do our best work when we're in the same room. To maintain the speed our partners expect, our New York and Chicago teams work in-office 4 days a week. We've found that being physically side-by-side is the only way to solve complex problems in real-time and stay truly accountable to the products we ship. When you're here, you're working directly with the people making the decisions. To support that work, we provide competitive compensation, equity, and a 401(k) match. We also offer full insurance coverage, a wellness reimbursement, a company-provided phone, and a personal development allowance. Finally, we value the time you spend away from the office with generous PTO, observed holidays, and extended leave. Work Authorization Applicants must possess the legal right to work in the country where the position is located at the time of application. DriveWealth requires all employees to provide original documentation verifying their work authorization on or before their first day of employment. For US-based roles: Applicants must be currently authorized to work in the United States on a full-time basis without the need for current or future visa sponsorship. DriveWealth does not provide visa sponsorship or support for employment authorization, including transfers, at this time. Offers of employment are strictly contingent upon an individual's ability to secure and maintain the legal right to work at the Company. How We Think About AI We leverage AI to work smarter and move faster. We seek AI-curious talent who are proactive about using emerging tools to increase signal quality, reduce friction, and improve outcomes to deliver products faster, provide better service to our partners, and to streamline processes. Your ability to leverage our internal tools and technology to drive results is as important to us as your core domain expertise. Compensation Pay is generally based on the level, complexity, responsibility, location, and job duties/requirements of the specific position. We then source candidates with the requisite skills, expertise, education, training, and experience. If you are selected for an interview, please feel welcome to speak to a recruiter about our compensation philosophy and other available benefits. This role is eligible for base, bonus, equity, 401(k) match, and heavily subsidized benefits and perks. Equal Employment Opportunity To build technology and products that are used and loved by people and solve real-world problems, we need to build a team with many different perspectives and experiences. We are an equal opportunity employer. We do not discriminate based on race, religion, color, national origin, gender, sexual orientation, age, marital status, veteran status, or disability status. We encourage candidates from all backgrounds to apply. Agency Disclaimer DriveWealth does not accept agency resumes. Do not forward resumes to our jobs alias, employees, or any other organization location. DriveWealth is not responsible for any fees related to unsolicited resumes. Create a Job Alert Interested in building your career at DriveWealth? Get future opportunities sent straight to your email. Create alert Apply for this job * indicates a required field Autofill with MyGreenhouse Read Less

Company Detail

  • Is Email Verified
    No
  • Total Employees
  • Established In
  • Current jobs

Google Map

For Jobseekers
For Employers
Contact Us
Astrid-Lindgren-Weg 12 38229 Salzgitter Germany