Compliance Specialist


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About Us:

New datasets are being created every day and investors need to incorporate them to remain competitive.

YipitData is the go-to, 200+ person data team for hundreds of the largest institutional investors and corporations in the world. We identify, screen, license, clean, and analyze alternative data to help clients answer their key questions.

We have amazing reviews (and a 5-star rating!) on Glassdoor and are one of Inc’s Best Workplaces – a fast-growing technology company based in NYC, backed by Norwest Venture Partners and with a strong culture focused on mastery, ownership, and purpose.

This is a remote-friendly opportunity that can sit in NYC (where our headquarter is located), or anywhere in the US.

About The Role:

Are you an analytical, proactive compliance professional with excellent judgment, strong interpersonal skills, and a stellar eye for detail? This is a rare opportunity to become a core contributor to the success of a fast-paced financial technology company that is building the future of investment research.

At YipitData, our legal and compliance team is an essential and collaborative partner in the company’s growth. As our Compliance Specialist (official title: Compliance Associate), you will be a core player in partnering with the legal team and managers across the company to ensure the company and its employees comply with internal policies and procedures, ethical best-practices and client requirements while continually evaluating the effectiveness of internal processes and implementing improvements to the compliance program as a whole.

The Compliance Associate will also be critical in supporting sales and increasing deal efficiency by supporting relationships between our revenue and legal teams to streamline the contract lifecycle, reviewing initial markups to our standard contracts, improving training and knowledge sharing for the revenue team and optimizing the use of technology-based solutions to increase overall legal bandwidth.

As Our Compliance Associate, You Will Gain Experience In:

Preparing and coordinating due diligence reviews for clients and prospects and actively engaging with clients and prospects on compliance matters, over email and phone as needed;
Working with lawyers to respond to employee compliance-related matters, including recurring compliance attestations and/or sharing updates on our compliance program;
Proactively identifying new technologies or efficiencies in workflows to improve the compliance program and working with legal, RevOps, and other teams, as needed, to develop, and support new compliance endeavors;
Identifying potential areas of compliance risk and recommending, or as necessary, developing corrective action plans for problem resolution;
Training employees on handling compliance matters;
Working closely with the revenue team to address recurring issues related to contract generation and management;
Collaborating with the RevOps team to improve training, knowledge sharing, and execution on all legal processes;
Reviewing, redlining and approving various standard agreements, escalating to the legal team as necessary;
Onboarding technology-based legal solutions and updating related contract workflows to streamline contract management).

You Are Likely to Succeed If:

You have a Bachelor’s (or Master’s) degree in Law, Accounting or Finance or a related discipline and at least 2+ years of experience in compliance, preferably at a FINRA member or SEC regulated organization
You are a quick learner who adapts well to a fluid regulatory and business environment
You are excited by and highly determined to dig-in to customer-facing compliance and deal-desk work that requires rock-solid judgment, creative problem solving, and cross-functional coordination.
You have excellent communication (verbal and written), zoom, telephone, interpersonal and organizational skills and are eager to further develop these.
You are able to work well within a team environment and take constructive criticism, coaching and feedback on a consistent basis, balancing both true ownership for your workstreams with the flexibility and judgment to know when to ask questions or involve other teams as-needed.
You are able to multitask, prioritize, and manage a large volume of requests with strong attention to detail.
You thrive in the unknown, are motivated to think creatively each day, and can handle new areas of responsibility independently.

What We Offer:

Our compensation package includes equity and a highly competitive salary.
We care about your personal life and we mean it. We offer flexible work hours, unlimited vacation, a generous 401K match, parental leave, team events, wellness budget, learning reimbursement, and more!
Your growth at YipitData is determined by the impact that you are making, not by tenure, unnecessary facetime, or office politics. Everyone at YipitData is empowered to learn, self-improve, and master their skills in an environment focused on ownership, respect, and trust.

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