We are seeking a Compliance Associate to help support the Compliance Team in carrying out their responsibilities. The Compliance Team helps Ellevest identify & mitigate risks & advises on complying with rules that apply to our operations. As a Compliance Associate you will play a key role.
You have at least two years of working experience in Financial Sector Compliance or Legal; a background at a Registered Investment Advisor is a plus. You are a fast learner with strong analytical & problem-solving skills. You are someone that can work collaboratively in a team setting as well as independently. You have experience implementing processes & procedures successfully.
- Develop, maintain, & implement compliance policies & procedures pertinent to the firms investment advisory business, including the Code of Ethics.
- Support ongoing compliance testing for the businesses, including annual & ongoing assessments of compliance programs, & create new testing as necessary in response to regulatory or business needs.
- Administer Onboarding & Offboarding requirements for employees, such as registration for Investment Adviser Representatives.
- Manage the Compliance Teams calendar & Books & Records
- Assist on special projects & ad hoc assignments
- Serve as an overall resource for Compliance & foster a respectful, success-oriented & accountable environment within the Compliance department.
- 2+ years experience in the financial services industry; experience at a SEC-Registered Investment Adviser a plus
- Strong written & verbal communication skills
- Bachelors degree or higher
- Ability to work in a fast-paced, team-based collaborative environment
- Passion for our mission
Ellevest is a transformative technology company created to help women achieve their financial potential. Ellevest helps women take control of their financial futures through investing, with a beautifully designed digital platform backed by an incredibly smart algorithm. Ellevest was co-founded by Wall Street veteran Sallie Krawcheck, chair of the Ellevate Network, previously CEO of Smith Barney & Merrill Lynch Wealth Management, formerly CFO of Citi, & author of Own It: The Power of Women at Work. Ellevest has raised $70MM from investors like Rethink Impact, Pivotal Ventures, Valerie Jarrett, Salesforce Ventures, PayPal Ventures, MasterCard, Khosla Ventures, Morningstar, & Venus Williams.
Ellevest has flipped the traditional approach to investing with a real-life, goal-based approach. Clients select personal financial goals such as buying a home, starting a business, raising a family, & retiring well, among others. Ellevest is unique in taking into account a womans longer lifespan & different salary curve, combined with her current financial picture, to construct highly customized investment portfolios for each of her goals. Ellevests unique algorithms are designed to get the client to her goal number or better in 70% of market scenarios, higher than traditional financial advisors.
Working at Ellevest
Ellevest is a leading tech company in New York City, with a thriving team across our engineering, product, marketing, client experience, investments, & operations organizations. We place a major emphasis on building a team & working environment where individuals can succeed professionally & personally. As a team member at Ellevest, you can expect to make a difference through your work, to have a direct impact on the achievement of a very meaningful mission, to significantly advance your career trajectory, & to have room for fun & fulfillment in your daily life. We know that achieving a mission as critical as ours requires incredible talent & teamwork, & team is the most important thing to us.
In 2018, Ellevest was awarded the #14 spot on LinkedIns list of most sought-after startups, as well as a spot on CNBCs Disruptor 50 list -- identifying start-ups on the cutting edge of huge consumer, tech & business shifts. In 2017, Ellevest was named one of Entrepreneur Magazines 100 Brilliant Ideas, & CNBC listed Ellevest as one of their Top 25 Most Promising Startups on a path to becoming tomorrows household names. We are working every day to make this a reality, & create a brand & a service that closes the female money gap.
We are an equal opportunity employer & value diversity at our company. We do not discriminate on the basis of race, religion, color, national origin, gender, sexual orientation, age, marital status, veteran status, or disability status.
Note: Instead of a cover letter, we ask you to answer the three questions at the bottom of this application.