Compliance Associate / Compliance Officer

Templum is seeking a Compliance Associate/Officer to support regulatory compliance and ensure adherence to securities laws. This remote position offers a salary range of $75,000 – $100,000 with comprehensive benefits. Templum is responsible for supporting the firm’s regulatory compliance program and helping to ensure adherence to applicable securities laws, rules, and industry standards.

• •Monitor broker-dealer activities to ensure compliance with SEC and FINRA rules, as well as internal policies and procedures.
• •Conduct ongoing surveillance reviews, including transaction blotter analysis and electronic communications monitoring.
• •Maintain, update, and enhance Written Supervisory Procedures (WSPs) to reflect evolving regulatory requirements and business practices.
• •Support regulatory filings, including Form U4, Form U5, and Form ATS submissions.
• •Assist with regulatory examinations, inquiries, and internal/external audits, including preparation of documentation and responses.
• •Execute compliance testing programs and document findings, including identification of control gaps and remediation tracking.
• •Provide compliance input and subject matter expertise in the development and enhancement of internal technology and software solutions.
• •Deliver compliance guidance and training to employees across business lines.
• •Support Anti-Money Laundering (AML) monitoring and Know Your Customer (KYC) / Customer Identification Program (CIP) processes.
• •Assist in overseeing controls related to offering review, sales practices, and investor suitability, particularly for private placements and alternative investment products.

• •Salary range: $75,000 – $100,000, commensurate with experience and qualifications.
• •Comprehensive benefits package, including health insurance, retirement plan, and paid time off.

• •Approximately 5 years of experience in broker-dealer compliance or a related function.
• •Exposure to trading, operations, or due diligence, preferably within a fintech or technology-enabled environment.
• •Strong working knowledge of SEC and FINRA regulatory frameworks.
• •Demonstrated analytical, problem-solving, and organizational skills.
• •Effective written and verbal communication skills, with the ability to interact across all levels of the organization.
• •FINRA Series 7 (required).
• •FINRA Series 24 (required or willingness to obtain within a defined timeframe).
• •Series 63 or Series 66 (required).