A venture-backed consumer fintechHiring

Senior Associate, Broker Dealer Compliance

  • Remote, worldwide
  • Senior
  • Posted 12 days ago
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or apply from Claude / ChatGPT / Muse

In one line

Compliance role at a consumer investing and banking app, handling broker-dealer rules, regulatory exams and customer disputes.

About the role

The compliance function draws on varied academic and professional backgrounds and works closely with legal, operations, product and marketing.

At a glance

Pay
Not stated in the posting
Remote scope
Remote, worldwide
Seniority
Senior
Skills
FINRA rules, SQL, Looker, ChatGPT, Cursor
Posted
17 Oct 2026
Last checked
29 Oct 2026

What you will do

  • Give real-time compliance guidance to customer experience and operations teams on disputes and inquiries
  • Coordinate responses to regulatory filings, exams and inquiries tied to customer complaints
  • Test policies and procedures for trading, money movement and internal controls
  • Spot systemic issues raised by customer experience or other teams and escalate them to senior management

What they look for

  • Familiarity with FINRA rules and the Investment Advisers Act of 1940
  • Comfort with change and sound judgment when situations are ambiguous
  • Close attention to detail and strong analytical and editing skills
  • An active FINRA Series 7 license

Nice to have

  • Compliance testing experience
  • Hands-on use of Cursor, ChatGPT, Looker or SQL

Benefits

  • Salary plus equity and health care benefits
  • Complimentary subscription to the company's premium account tier
  • Hybrid work policy

How Keywordise applies for you

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ClaudeConnectorChatGPTConnectorMuseby Meta

Claude

  1. In Claude, open Settings, then Connectors, and choose Add custom connector.
  2. Name it Keywordise and paste the connector URL.
  3. Click Connect, log in to Keywordise and approve. Then send the prompt in a new chat.
Connector URL
https://keywordise.com/mcp

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ChatGPT

  1. In ChatGPT, open Settings, then Connectors. On plans that need it, turn on developer mode first.
  2. Add a new connector with the connector URL and choose OAuth. Leave the client ID and secret empty.
  3. Log in to Keywordise and approve. Then send the prompt in a new chat.
Connector URL
https://keywordise.com/mcp

Disconnect any time in your Keywordise settings.

Muse

  1. Open Muse (muse.ai or the app) and send it the message below.
  2. If Muse asks how to sign in, answer OAuth. Open the sign-in link it sends, log in to Keywordise and approve.
  3. Send the prompt. Muse asks before it sends anything.
Message for Muse
Add a custom connector called Keywordise. It is a remote MCP server at https://keywordise.com/mcp and uses OAuth. Give me the sign-in link.

Muse is available in the US only for now.

Prompt
Apply to Keywordise job qr5ozono3s
How to connect

Questions about this job

Is this job fully remote, and from where?

Yes. The posting lists Senior Associate, Broker Dealer Compliance as a remote role open to candidates worldwide.

What does this job pay?

The posting does not state a salary, so there is no figure to quote.

What experience is needed?

It is a senior role. The posting asks for: familiarity with FINRA rules and the Investment Advisers Act of 1940; comfort with change and sound judgment when situations are ambiguous; close attention to detail and strong analytical and editing skills. Skills it names include FINRA rules, SQL, Looker, ChatGPT.

How do I apply with Keywordise AI?

Press the Apply with Keywordise AI button and add your CV. Keywordise tailors your CV and cover letter to this posting and sends the application for you, with a free 7-day trial and no card.

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A venture-backed consumer fintechRemote, worldwide
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