Toss Securities US LLC (TSUS), a U.S. broker-dealer affiliate of Toss Securities, recognized as
one of the fastest growing brokerages in Korea and a leading firm in overseas stock commission
revenue, has recently opened its New York office as part of Tossʼs global expansion. Toss is
widely regarded as one of Koreaʼs most innovative fintech brands, and TSUS is actively building
its U.S. trading operations under FINRA regulation.
We are seeking experienced Compliance Manager to join our growing team. This role offers an
exciting opportunity to contribute to the expansion of a dynamic brokerage firm while advancing
your career in the U.S. financial markets.
Key Responsibilities
- Support the CCO in establishing and operating a comprehensive broker-dealer compliance program, with ownership of day-to-day implementation aligned with FINRA, SEC, and applicable state rules.
- Draft, maintain, and implement Written Supervisory Procedures (WSPs), Compliance Manual, and related program documents.
- Own day to day compliance operations, including intake, tracking, and resolution of compliance items.
- Oversee and manage TSUS’s continuing education program, including planning, tracking, and regulatory reporting requirements.
- Plan and execute annual compliance meetings and certifications, including FINRA Rule 3130 reports management for annual CEO certification
- Coordinate the management of the firm’s BCP with the Chief Compliance Officer
- Coordinate and support with required regulatory filings and reporting (e.g., FINRA Gateway tasks, annual compliance report support, AML documentation, etc.).
- Prepare for and oversee regulatory exams, audits, and inquiries; organize production materials and coordinate responses under CCO direction.
- Track, manage, and drive remediation of exam findings to closure.
- Conduct ongoing surveillance of trading, communications, marketing, and operational activities; escalate red flags with clear recommendations.
- Perform periodic testing of supervisory controls and compliance processes; document findings, remediation plans, and follow-through.
- Maintain logs and evidence for supervisory reviews and compliance attestations.
- Manage third party vendor oversight, ongoing monitoring, vendor risk management, and due diligence.
- Support implementation and operation of the AML program, including CIP/KYC monitoring, OFAC checks, SAR escalation workflows (as applicable), and annual AML testing coordination.
- Review and assess escalations tied to customer due diligence, suspicious activity, or sanctions screening.
Qualifications
5-10 years of experience in brokerage and trading
Bachelorʼs degree in a related field, or equivalent experience and training
FINRA Series 7 license required
Equal Opportunity Employer
Toss Securities US is an Equal Opportunity Employer. We celebrate diversity and are committed
to creating an inclusive environment for all employees. All qualified applicants will receive
consideration for employment without regard to race, color, religion, sex, sexual orientation,
gender identity, national origin, age, disability, or veteran status.
