Senior Compliance Officer

Prometheus Financial Advisors, LLC

Location: Remote

Prometheus Alternative Investments is building the world's first social marketplace for alternative investments. The Prometheus platform couples a social network built around investment manager professionals, and a direct-to-consumer digital marketplace where investors can discover, research, and invest in opportunities across alternative strategies. Prometheus's mission is to create access and transparency in a previously exclusive industry and is committed to bringing the highest quality fund managers, educational content, and investment opportunities to the largest number of global investors possible.

Prometheus Financial Advisors, LLC is a registered investment advisor (“RIA”) and is looking for an incredible Senior Compliance Officer who knows what it takes to design, implement and manage a scalable and best-in-class compliance function suitable for a fast-growing, dynamic firm. As an early employee, you will be a critical part of our core team and have a huge influence over the direction of this compliance program.

And you can do this all remotely!

Responsibilities:

• Report directly to the Chief Compliance Officer (“CCO”)

• Play a critical role in developing and overseeing the daily management of the registered investment advisor’s compliance program

• Maintenance of Policies and Procedures for the registered investor advisor

• Development, implementation and management of RIA’s compliance training program

• Review and approve marketing materials and other public communications, working closely with our Content and Marketing teams

• Assist with internal and external exams, audits, inquiries, risk assessments, and similar reviews

• Manage and coordinate all regulatory filings

• Ensure compliance with US and Blue State laws

• Review, interpret and assess regulatory impact related to proposed and new SEC and SRO rules

• Provide appropriate real-time support, advice, and training to the relevant front office and infrastructure personnel with respect to registered investment advisor compliance

• Drive compliance projects by working with business, operations, product development and technology teams by drafting requirements and overseeing implementation

• Provide subject matter expertise for compliance issues

What we’re looking for in you:

• 5+ years of relevant compliance experience

• Working knowledge of the Investment Advisers Act

• FinTech/Start-up experience is a plus

• Background in private placements and alternative assets is also a plus

• Series 65 or 66 (or willingness to obtain within 60 days)

• Strong communication, leadership, interpersonal, and presentation skills to work effectively with internal and external stakeholders

• Detail oriented, accurate, organized and able to set priorities

Benefits:

• Medical, Dental, and Vision Insurance

• Life and Disability Coverage

• Health and Flexible Savings Accounts

• 401(k) with immediate eligibility

• Generous Paid Time Off (Vacation, Sick Leave, and Company Holidays)

• Remote friendly

Inclusion:

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 and value diversity at our company. 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. We will treat your request as confidentially as possible. In your email, please include your name and preferred method of contact, and we will respond as soon as possible. marie@prometheusalts.com