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Betterment
online financial advisor
 
Betterment HQ - New York City    Posted: Friday, August 09, 2019
 
   
 
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JOB DETAILS
 

About the right team member:

You are eager to join a dynamic team to help build out the compliance function at the most innovative registered investment adviser & broker-dealer in the world. Youre familiar with the applicable rules & are excited to develop your expertise in the investment advisory compliance space. You have a business mind, & are always seeking new & better ways to improve practices. You are ready to roll up your sleeves & get to work in the most exciting work environment there is!

At Betterment you will get to:

  • Help our Compliance team execute our investment advisory & broker-dealer compliance functions
  • Review marketing materials to ensure compliance with the Investment Adviser Act, including review & approval of social media posts, articles, & press releases
  • Monitor employee communications in accordance with the firms e-surveillance program
  • Assist with responses to due diligence questionnaires
  • Assist with the annual testing of the firms compliance program
  • Assist with our regulatory & annual compliance examinations
  • And so much more!

You will be effective if you have:

  • 1+ years experience in the Financial Services industry in a compliance or risk role preferably at an SEC-registered investment adviser
  • Strong strategic & creative thinker with the ability to critically analyze & balance risks, costs, & benefits
  • A meticulous attention to detail
  • Excellent communication & organizational skills
  • Ability to work well across various business units

Nice-to-haves:

  • FINRA securities licenses (SIE, Series 7)

About Betterment

Betterment is the largest independent online financial advisor with more than $17 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 400,000 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.

 
 
 
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