Compliance Manager

About the right team member:

You are an experienced compliance professional eager to flex your skills at a cutting-edge investment advisor and broker dealer. You know the rules and understand how to build out effective and intelligent processes and procedures. You have a business mind, and are always seeking new and improved ways of doing things. You have the confidence and ability to work productively with our internal and external partners, and can communicate clearly and persuasively with an emphasis on detail. You have experience with broker-dealer operations as well as working within a fast-paced, technology-driven environment. You are eager to work hard and make an impact.

Responsibilities:

  • Provide compliance-related guidance and support to various business groups with an emphasis on IA/BD operations, AML, trading and custody oversight
  • Help our Compliance team ensure that appropriate regulatory policies, procedures and controls are established, maintained and well documented
  • Develop and deliver employee trainings on compliance policies and procedures to ensure proper understanding of regulatory related risks and responsibilities as part of annual firm element training plan
  • Take ownership of execution of regular filings including, Form BD filings, FINRA Rule 3120 report and Rule 3130 certification, licensing requirements for relevant personnel, U4/U5 filings among others
  • Manage various compliance processes including, KYC, AML, risk control framework, including review and filing of customer complaints
  • Assist with SEC and FINRA regulatory examinations

Qualifications:

  • A minimum of five years experience as an industry professional at an investment advisor, broker-dealer, or regulator (diversity of experience strongly preferred)
  • One year or more working within a FinTech or other technology company
  • Thorough knowledge of the FINRA and SEC rules and regulations surrounding a custodial broker-dealer
  • Strong analytical and problem-solving skills with the ability to exercise sound and balanced judgment
  • Familiarity with operations of broker-dealers subject to 15c3-3
  • Excellent writer and communicator

Nice-to-haves:

  • JD, MBA, or CFA
  • Series 7, 24, 27

Come join us

Please include a pdf of your resume and a short cover letter with your application.


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