Betterment is a leading, technology-driven financial services company that offers investing & retirement solutions for retail investors & investment advisors as well as financial wellness solutions, including a 401(k) for small & medium-sized businesses. Our team is passionate about our mission: making peoples lives better. Were headquartered in NYC, & offer hybrid NY-based (three days/ week in-office) & select, non-NY-based remote positions.
About the role
You are eager to join a dynamic team to help build out the compliance function at one of the most innovative registered investment advisers & broker-dealers. Youre thorough, always ask questions, & are detail oriented. You thrive in a fast paced environment, are able to prioritize, & have an eye towards continuous improvement. You have significant experience with SEC & FINRA marketing rules & have expertise in marketing review. You have strong management skills & are ready to manage a team of two. You think outside the box & find working across the business to find solutions fun! You are ready to roll up your sleeves & get to work in the most exciting work environment there is!
This role is based out of our NYC office. Below we've reflected the base salary range we would offer for this position. Actual salaries may vary depending on factors including but not limited to location, experience, & performance. The range listed is just one component of Betterments total compensation package for employees.
- New York City: $175,000 - $205,000
We offer a competitive equity package, health, dental & vision benefits, & a 401(k) offering with employer match as well as flexible PTO policy. This job is eligible for variable compensation in the form of a discretionary company incentive bonus.
A day in the life
- Manage & develop two (2) direct reports
- Manage & oversee the Compliance Marketing function, including the review of firm marketing materials & social media related to investment advisory & broker-dealer products to ensure adherence to SEC Rule 206(4)-1, FINRA 2210, Reg DD & other applicable regulations
- Responsible for advising the business on applicable law, rules & regulations relevant to new products & other initiatives
- Execute the Compliance program for his or her area of responsibility, including promulgating policies & procedures, conducting monitoring, testing, & assessments, & providing training
- And so much more!
What were looking for
- Expertise in Rule 206(4)-1 & familiarity with SEC & FINRA rules (including Rule 2210)
- Experience advising on & developing investment advisory products
- Ability to organize & prioritize workflow & assignments in a deadline-oriented environment
- Ability to multi-task & work within tight deadlines
- Management experience
- A meticulous attention to detail
- Desire to work in a fast paced & changing environment
- Excellent communication & organizational skills
- Ability to work well across various business units
- Strong intellectual curiosity
- Series 24 preferred
What being at Betterment means for you
We change lives
Join a community of innovators working to transform financial outcomes for real people. Your work will make an impact, always laddering up to our mission: making people's lives better.
We set audacious goals
We set them for the company, our customers, & ourselvesand we wont stop until we reach them. We dont just show up; we give our all, then celebrate our wins.
We value all perspectives
When we collaborate, we're at our best. We believe diverse perspectives lead to better outcomes & strive to uphold our supportive & inclusive community.
We invest in you with:
- A competitive suite of benefits, including: medical, dental, & vision insurance; life & AD&D insurance; STD & LTD benefits, including infertility support & World Professional Association for Transgender Health approved benefits; & generous parental leave.
- Flexible paid time off (and encouragement to use it!)
- Meaningful opportunity for community building through our 6 Employee Resource Groups
- Empowerment to own & lead change & affect the business
- Dedicated professional development opportunities
- Complimentary financial advice from our team of CERTIFIED FINANCIAL PLANNERS
- Lunch from our in-house chef three days a week at our NYC headquarters
What happens next
Well take a few weeks to review all applications. If wed like to spend more time with you, well reach out to arrange next steps, which will include 3-4 sets of meetings with your future colleagues.
In the interview process, well look to learn more about your skills, experiences, capabilities, & motivators. Many of our questions will be aimed at understanding how you might operate here at Betterment. Depending on the role, we may ask you to complete a case study exercise or technical assessments, as we want to collect a robust set of data points to better inform our decisions.
On average, it takes us around 3-5 weeks to make a hiring decision, depending on your availability & sense of urgency. As a best practice, we aim to interview at least 2-3 final round candidates before making a hiring decision. Please note that, as we usually receive an overwhelming number of applications for open positions, were unable to offer individual feedback during the interview process.
We recognize that interviewing for a new role is a big deal. We appreciate you considering Betterment as the next step in your career, & our Recruiting Team is here to support & advocate for you through the interview process!
Please note that Betterment is dedicated to providing accommodations to candidates upon request. If you need accommodations at any point throughout the interview process, please reach out to your recruiter or email email@example.com.
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.