Why join us
Brex is reimagining financial systems so every growing company can realize their full potential. As the financial OS, we’re building software and services in one place—disrupting long-entrenched institutions with products and experiences that better serve the ambitions of our customers.
Working at Brex allows you to push your limits, challenge the status quo, and collaborate with some of the brightest minds in the industry. We’re committed to building a diverse team and inclusive culture and believe your potential should only be limited by how big you can dream. We make this a reality by empowering you with the tools, resources, and support you need to grow your career.
CRF Team at Brex
The Compliance, Risk and Fraud (“CRF”) team helps the company grow responsibility, advocating for Brex and for the thousands of growing businesses we serve. We own the compliance policies for Brex, provide strategic advice and guidance to all Brex teams, protect Brex from Financial Crime and other compliance risks, and represent the company externally on key regulatory and policy issues. Reimagining the financial system in a highly regulated environment requires creativity and resourcefulness, and we welcome the challenge.
What you’ll do
You will be a key member of the regulatory compliance team supporting a variety of Brex’s Products and Features. You will work closely with the business to provide front office support and training while participating in various regulatory related activities. The ideal candidate will have a fresh, innovative approach to compliance. Your role will support Brex Treasury LLC, the broker dealer, and Brex Asset Management LLC, the registered investment adviser.
Responsibilities
- Review and approve marketing materials
- Perform regular email review for registered representatives
- Review customer complaints and track related metrics
- Conduct branch and OSJ examinations
- Assist with annual and ad-hoc compliance trainings
- Track reporting obligations for registered representatives e.g. outside business activities disclosures, outside brokerage account disclosures etc.
- Perform subscription booklet reviews and investor due diligence checks
- Track compliance metrics for Brex Treasury LLC and Brex Asset Management LLC
Requirements
- 1 + years of compliance experience at a bank, broker-dealer or registered investment adviser
- Working knowledge FINRA and/or SEC rules
- Excellent written and verbal communication skills and interpersonal skills to work effectively with internal and external stakeholders
- Detail oriented, accurate, organized and able to set priorities
- Ability to multi-task and adapt to shifting priorities in a fast paced environment
- Willing to acquire Series 7 and 24 licenses within 90 days of employment
