You are a compliance leader eager to develop extraordinary broker-dealer & investment adviser compliance programs at a cutting-edge financial technology company. You have a comprehensive vision & strategy for building out a compliance program. Youre also willing to roll up your sleeves & jump in with the team, advising on a range of regulatory matters, such as launching new products & partnering with banks. You have a business mind & can influence & partner across a company. You are always seeking new & improved ways of doing things. You have the confidence & ability to work productively with our regulators & internal team of six compliance professionals, & can communicate clearly & persuasively. You have experience with both broker-dealer & investment adviser compliance programs & operations.
But, most importantly, you are driven to help build an elite compliance department with a world-class team. You dont want to do things the old waysyou want to improve. You want to build a team & organization we can all be proud of, one that changes the way people think about a compliance program.
A Day in the Life:
- Lead our compliance organization, providing guidance & support to our business partners, senior management, Board of Directors, & compliance team.
- For both our investment adviser & broker-dealer entities, ensure that appropriate regulatory policies, procedures & controls are established, maintained & well-documented.
- Take ownership of all ongoing compliance review processes & requirements, including annual reviews & meetings, Form ADV & Form BD filings, review & drafting of policies & procedures, compliance program framework & operations, etc.
- Manage & coordinate SEC & FINRA regulatory examinations, including written responses.
- Partner with the Legal team to analyze changes to regulatory requirements, proactively handle regulatory developments, & advise on new product launches.
- Continue to develop & mentor our excellent compliance professionals.
- Become an industry thought leader as we grow & expand our business.
What Were Looking For:
- A minimum of 8 years experience as a compliance professional at a SEC-registered investment adviser, broker-dealer, or regulator (diversity of experience strongly preferred).
- Experience with rules & regulations applicable to investment advisers & broker-dealers.
- Comfort with ambiguitycapable of solving complex problems independently in a fast-paced environment & adapting along the way.
- Demonstrated success as a values-based leader who can build & maintain a culture of empowerment, ownership, & accountability.
- Ability to initiate & drive projects to completion with minimal guidance.
- Strong organization, prioritization & time management skills.
- Substantial experience managing regulatory exams.
- Excellent writer & communicator.
- The ability to roll up your sleeves & get into the details.
- Series 7 & 24 (and have passed the Securities Industry Essentials exam if required).
- A genuine love for compliance, educating, & advising (its your thing!)
Bonus Points If You Have:
- Either been a CCO or the number two compliance professional for a SEC-registeredinvestment adviser & FINRA member broker-dealer.
- Juris Doctor preferred.
- Series 27 or 63.
- Familiarity with operations of broker-dealers subject to 15c3-3.
- Experience with banking regulations
What Being at Betterment Means for You:
Joining Betterment means joining a community of folks passionate about change, being on a team that cares for your health & well-being, & being on a journey of non-stop growth & evolution.
- Youll join a Community:
- Betterment is a place to bring your best self. We welcome families (and pets) for all our activities such as lunches, company retreats, & celebrations.
- Make meaningful connections with your peers through interest groups, sports clubs, social events, meetups, & regular knowledge sharing.
- Youll stay Happy & Healthy:
- Regardless of where you are, we will ensure you're well set up & cared for, through gym reimbursements, a customizable workstation, enrollment in our 401(k) service, flexible parental leave, & a whole suite of thoughtful benefits.
- Youll have unlimited paid personal & vacation days, & a team that cares about your whole life, not just what youre working on.
- Youll Learn & Grow:
- Enhance your skills & abilities through Betterment University courses & additional spending for outside learning.
- Contribute to our knowledge & transparent workspace through mentoring & career coaching programs, weekly company meetings, show & tells.
Please note that Betterment is dedicated to providing accommodations to candidates with disabilities. If you need accommodations at any point throughout the interview process, please reach out to email@example.com
Betterment is the largest independent online financial advisor with more than $22 billion in assets under management. The service is designed to help increase customers long-term returns & lower taxes for retirement planning, building wealth, & other financial goals. Betterment takes advanced investment strategies & uses technology to deliver them to more than 500,000 customers across its three business lines: direct-to-consumer, Betterment for Advisors, & Betterment for Business. Learn more.
Come join us!
Were an equal opportunity employer & comply with all applicable federal, state, & local fair employment practices laws. We strictly prohibit & do not tolerate discrimination against employees, applicants, or any other covered persons because of race, color, religion, creed, national origin or ancestry, ethnicity, sex, gender (including gender nonconformity & status as a transgender or transsexual individual), sexual orientation, marital status, age, physical or mental disability, citizenship, past, current or prospective service in the uniformed services, predisposing genetic characteristic, domestic violence victim status, arrest records, or any other characteristic protected under applicable federal, state or local law.