Remote
Remote
Senior
Full Time
about 1 month ago
💰$128,000 - $138,000
remotefinancial_servicescompliancesenior
Requirements
- •7+ years experience with a Financial Services organization
- •FINRA SIE, Series 7, 24, 63 and 65 (or 66) licenses required
- •Proven experience in financial compliance with broker-dealer and investment advisory regulations
- •Ability to evaluate risk and make sound decisions
- •Strong communication and interpersonal skills
- •Experience with regulatory inquiries and understanding of financial regulatory environment
What You'll Do
- •Design and implement broker-dealer and investment advisory written procedures and SOPs
- •Audit public communications and marketing materials for regulatory compliance
- •Review customer communications to identify and document complaints
- •Lead regulatory compliance training for registered associates
- •Act as subject matter expert on compliance matters for management and stakeholders
- •Coordinate and assist with regulatory inquiries and examinations
- •Lead risk assessments to identify and address compliance issues
- •Collaborate with other compliance officers on projects and initiatives
- •Maintain expert knowledge of regulatory changes
Nice to Have
- •Hunger to deliver game-changing products
- •Exceptional drive and precision in delivery
- •Belief that work is tied to life's mission
- •Optimistic about potential of societal change
Benefits
- •Competitive salary and stock options
- •Comprehensive benefits package for employee and family
- •Flexible work location, hours, and paid time off
- •401(k) matching
- •Monthly Acorns account contribution and GoHenry account for family
- •Mindfulness and Financial Wellness resources (Headspace and Addition Wealth)
- •Acorns Career Development Program
- •Roots Leadership Program for Emerging Leaders
- •Community week onsite gatherings and virtual events
- •Talented and motivated team members
- •Opportunity to create a new world and solve 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