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Betterment // online financial advisor
 
Betterment HQ - New York City    Posted: Tuesday, February 11, 2020
 
   
 
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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. You love efficient organization, tracking, & project management, & are excited to work in the compliance space. You have strong communication skills, attention to detail & accuracy, & are always seeking new & better ways to improve practices. You wont accept less than a well oiled machine. 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 by building an efficient, automated, & transparent system that centralizes our ongoing tasks.
  • Manage the teams regulatory tracking to ensure tasks are completed & deadlines are met.
  • Help the team manage priorities & project work.
  • Assist with organizing & coordinating the firms annual compliance reviews.
  • Identify ways to improve Compliance team efficiency & organization.
  • Support the Compliance team on execution of day-to-day tasks ranging from exam assistance, to training presentation support, to specific compliance projects.
  • Monitor & review complaints.
  • Manage firm compliance systems & recordkeeping.
  • And so much more!

You will be effective if you have:

  • 1- 2 years experience.
  • A love for organization & a meticulous attention to detail.
  • Excellent communication skills.
  • A desire to work in a fast paced environment.

Nice-to-haves:

  • Previous compliance experience.
  • Familiarity with SEC & FINRA 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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