Remote
Remote
Senior
Full Time
5 months ago
💰$145,000 - $170,000
remotecompliancemanagementfinancial_services
Requirements
- •FINRA Series 7 and 24 licenses required
- •Series 65 or 66 license or obtain it within the first 90 days
- •7+ years of compliance experience with SEC Registered Investment Adviser or Broker Dealer
- •BS / BA Degree or equivalent
- •Experience working with SEC and FINRA rules and regulations, specifically the SEC Marketing Rule and FINRA Rule 2210
- •At least 2+ years of experience managing and developing team members
- •Strong ability to communicate compliance expectations and initiatives clearly and effectively
What You'll Do
- •Modify, update, and implement the investment adviser and broker-dealer written policies and procedures in response to regulatory and business requirements
- •Responsible for the annual review and refresh of the compliance department's Standard Operating Procedures (SOPs)
- •Identify, prioritize, and mitigate investment adviser and broker-dealer risks to ensure compliance with regulatory requirements across the organization
- •Assist the CCO with SEC and FINRA examinations, inquiries, and requests from other relevant authorities
- •Collaborate with key business partners such as Legal, Marketing, Product, Support, and Invest Operations to champion business and compliance initiatives
- •Support the day-to-day compliance activities, including the review of customer complaints, marketing materials, referral program, and public communications, to ensure the firm adheres to regulatory, legal, and internal policy standards
- •Develop risk management strategies and contribute to strategic compliance goals aligned with the firm's mission
- •Manage a small team of direct reports and provide guidance, mentorship, and performance feedback
- •Provide compliance insights to the CCO, CEO, and other key stakeholders
- •Serve as a role model by embodying and promoting the firm's cultural principles
Nice to Have
- •Prior work experience with the SEC or FINRA is highly desirable
- •Passion for Acorns’ mission and belief in societal change through innovative financial solutions
- •Ability to align company vision and organizational goals with team execution
- •Commitment to upholding policy and procedures per company standards
- •Own strategic decision-making and effectively communicate direction to team members
- •Hunger to deliver game-changing products
- •Exceptional drive and precision in delivery
- •A belief that your work is tied to your life's mission
- •Optimistic about the potential of societal change
Benefits
- •Competitive salary and stock options
- •A comprehensive benefits package to meet the needs of you and your family
- •Flexible paid time off
- •Numerous career possibilities that allow you to grow with Acorns
- •Talented and motivated team members who care deeply about one another, our mission, and our customers
- •The rare opportunity to create a new world and do meaningful work that solves big societal challenges
About Acorns
Acorns is a financial technology and services company that specializes in automated investments and robo-advice.
Irvine, CA, US
500 - 1000
Finance & Banking