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Betterment // online financial advisor
Betterment HQ - New York City    Posted: Wednesday, March 11, 2020
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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. Youre thorough, always ask questions, & are great at constructively communicating your rationale. 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!

At Betterment you will get to:

  • Help our Compliance team execute our investment advisory & broker-dealer compliance functions
  • Review & approve firm marketing materials including advertising, presentations, website, & emails
  • Ensure that all communications comply with applicable regulatory guidelines
  • Provide guidance & training
  • Assist with implementing policies & procedures
  • Help with annual testing of the firms compliance program
  • Provide support on regulatory & annual compliance examinations
  • And so much more!

You will be effective if you have:

  • 1- 3 years of experience in compliance within the Financial Services industry
  • 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


  • FINRA securities licenses (SIE, Series 7)
  • Compliance marketing review experience.
  • Familiarity with SEC & FINRA advertising rules

About Betterment

Betterment is the largest independent online financial advisor with more than $20 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 480,000 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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