Senior Compliance and Risk Specialist

## What you’ll do day-to-day: 📍Conduct onboarding due diligence reviews of prospective RIA firms and existing firms on an ongoing basis 📍Principal Review (approve) communications with the public ("CwP") materials to ensure it meets regulatory and internal standardsReview flagged email communications 📍Experience with RIA compliance procedures and documentation 📍Assist with annual Written Supervisory Procedures (WSP) testing 📍Support AML processes including Customer Identification Program (CIP), Know Your Customer (KYC), and money movement monitoring 📍Perform additional duties as requested by the CCO 📍Knowledge of FINRA, SEC, and AML regulationsPartner closely with various business units within TradePMR and Robinhood 📍Review, analyze, and advise stakeholders on the adherence of compliance and internal guidelines 📍Develop and implement process improvements to increase quality and scalability 📍Establish program efficiencies and enhance processes within the team 📍Build strong relationships and align compliance strategy among different stakeholders 📍Guide internal customers on compliance for projects and deliverables ## About you: 📍Bachelor’s Degree 📍FINRA Series 7 and 24. 📍5+ years working in compliance or a relevant function 📍Ability to effectively manage multiple priorities and adapt to a changing environment 📍Good written and verbal communication, strategic, negotiation skills and strong attention to detail 📍General financial services industry experience as a regulator or within compliance, audit, risk, marketing, or communication **The crypto industry is evolving rapidly, offering new opportunities in blockchain, web3, and remote crypto roles — don’t miss your chance to be part of it.**

Back to blog

Common Interview Questions And Answers

1. HOW DO YOU PLAN YOUR DAY?

This is what this question poses: When do you focus and start working seriously? What are the hours you work optimally? Are you a night owl? A morning bird? Remote teams can be made up of people working on different shifts and around the world, so you won't necessarily be stuck in the 9-5 schedule if it's not for you...

2. HOW DO YOU USE THE DIFFERENT COMMUNICATION TOOLS IN DIFFERENT SITUATIONS?

When you're working on a remote team, there's no way to chat in the hallway between meetings or catch up on the latest project during an office carpool. Therefore, virtual communication will be absolutely essential to get your work done...

3. WHAT IS "WORKING REMOTE" REALLY FOR YOU?

Many people want to work remotely because of the flexibility it allows. You can work anywhere and at any time of the day...

4. WHAT DO YOU NEED IN YOUR PHYSICAL WORKSPACE TO SUCCEED IN YOUR WORK?

With this question, companies are looking to see what equipment they may need to provide you with and to verify how aware you are of what remote working could mean for you physically and logistically...

5. HOW DO YOU PROCESS INFORMATION?

Several years ago, I was working in a team to plan a big event. My supervisor made us all work as a team before the big day. One of our activities has been to find out how each of us processes information...

6. HOW DO YOU MANAGE THE CALENDAR AND THE PROGRAM? WHICH APPLICATIONS / SYSTEM DO YOU USE?

Or you may receive even more specific questions, such as: What's on your calendar? Do you plan blocks of time to do certain types of work? Do you have an open calendar that everyone can see?...

7. HOW DO YOU ORGANIZE FILES, LINKS, AND TABS ON YOUR COMPUTER?

Just like your schedule, how you track files and other information is very important. After all, everything is digital!...

8. HOW TO PRIORITIZE WORK?

The day I watched Marie Forleo's film separating the important from the urgent, my life changed. Not all remote jobs start fast, but most of them are...

9. HOW DO YOU PREPARE FOR A MEETING AND PREPARE A MEETING? WHAT DO YOU SEE HAPPENING DURING THE MEETING?

Just as communication is essential when working remotely, so is organization. Because you won't have those opportunities in the elevator or a casual conversation in the lunchroom, you should take advantage of the little time you have in a video or phone conference...

10. HOW DO YOU USE TECHNOLOGY ON A DAILY BASIS, IN YOUR WORK AND FOR YOUR PLEASURE?

This is a great question because it shows your comfort level with technology, which is very important for a remote worker because you will be working with technology over time...