Stash is a digital-first financial services company committed to making saving & investing accessible to everyone. By breaking down barriers & building transparent, technology-driven products, we help the 99% build smarter financial habits so more people can confidently save more, grow wealth, & enjoy life.
We are seeking a Compliance Monitoring & Testing Manager to conduct forensic reviews covering our various products & services. In this role, you will monitor, measure, analyze, evaluate, & report on the enterprises compliance with regulations & the firms policies, procedures, & compliance controls. The successful candidate should be comfortable handling multiple projects & having daily interactions with various members from our product, investing, operations, engineering, marketing, & data teams.
Our compliance team is comprised of a committed group of professionals who seek to be the best at what they do each & every day. They exceed expectations & expect the same excellence of their teammates. When it comes to regulatory & ethical standards, exceeding the standard is the standard at Stash. As a Compliance Monitoring & Testing Manager, the successful candidate will quickly become an integral member of the team who exudes energy, curiosity, & enthusiasm to join our Compliance Testing Group to conduct forensic reviews covering the various firm businesses & divisions. In performing these reviews, the individual will use advanced testing techniques to check compliance with regulations & the firms policies, procedures, & compliance control infrastructure.
What Youll Do:
- Monitor & test regulatory & reputational risk to ensure compliance performance is achieved by setting out monitoring processes, schedules, resources, & information to be collected
- Plan, establish, implement, & maintain a monitoring & testing program, including frequency, methods, responsibilities, planning requirements, & reporting to continually improve the suitability, adequacy, & effectiveness of the firms compliance function
- Propose methods of testing & execute plans discussed & agreed with the team (i.e conduct Annual Review)
- Gather data, perform analysis, & document results.
- Evaluate the need for action to eliminate root causes of noncompliance
- Escalate compliance exceptions to management & relevant stakeholders
- Track & closeout detected compliance exceptions, including those arising in the normal course of business outside of the testing process
What were looking for:
- 5+ years of compliance, audit, testing, or regulatory experience
- Experience in the financial services industry, either working for an investment manager, broker dealer, consulting firm, or regulator
- Knowledge of financial products, markets, laws & regulation, FINRA rules, SEC rules, & the Investment Advisers Act of 1940
- Highly-developed interpersonal skills & an aptitude for building strong relationships with stakeholders across various seniority levels & specialties through the use of engaging, courteous, & persuasive communication styles
- Exceptional verbal & written communication skills & an aptitude for thinking clearly about complex issues under conditions of ambiguity, uncertainty, & high pressure
- The ability to manage several competing priorities & reviews concurrently
- Exemplary attention to detail, strong analytical skills, & rigorous judgment
- Bachelors Degree
- ACAMS or Series 99/7 is a plus
- CPA is a plus
The compliance teams candidate selection process is predicated on the belief that values are more important than a candidates skills & experience. Specifically, the compliance team values open-mindedness, conscientiousness, & equanimity. Candidates are evaluated on character first, aptitude second, & skills third.