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Betterment

Sr. Compliance Manager

Hoboken, NJ

About Betterment

Betterment is a leading, technology-driven financial services company that offers investing and retirement solutions for retail investors and investment advisors as well as financial wellness solutions, including a 401(k) for small and medium-sized businesses. Our team is passionate about our mission: making people’s lives better. We’re headquartered in NYC, and offer hybrid NY-based (three days/ week in-office) and select, non-NY-based remote positions.

About the role

You are eager to join a dynamic team to help build out the compliance function at one of the most innovative registered investment advisers and broker-dealers. You’re thorough, inquisitive, intellectually curious, and detail oriented. You love building things from scratch and thrive in a fast paced environment. You’re very familiar with the applicable rules and are excited to use those skills to enhance the compliance program. You think outside the box and find working across the business to find solutions fun. You are ready to roll up your sleeves and get to work in a fast-paced and exciting work environment!

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This role is based out of our NYC office. Below we've reflected the base salary range we would offer for this position. Actual salaries may vary depending on factors including but not limited to location, experience, and performance. The range listed is just one component of Betterment’s total compensation package for employees. 

  • New York City: $160,000 - $180,000

We offer a competitive equity package, health, dental and vision benefits, life and AD&D, short-term and long-term disability insurance, EAP, commuter and parking benefits FSA/HSA, and 401(k) with employer match as well as a flexible PTO policy. This job may also be eligible for variable compensation in the form of a company incentive bonus.  For jobs based out of our NYC HQ, we require in office attendance Tuesday through Thursday, weekly.

A day in the life

  • Be a key partner to our Capital Markets Team and help ensure we meet our obligations regarding best execution, trade reporting and trade allocation.
  • Be a key partner to our Operations Team and help ensure we meet our obligations regarding proxies, corporate actions, account transfers, escheatment, custody, segregation of client assets (Rule 15c3-3), reserve requirements and delivery of statements and trade confirmations.
  • Execute second line compliance oversight of capital markets and operations activities
  • Help the business improve their processes, create efficiencies, and build new products
  • Develop the right monitoring and testing routings
  • Advise on a variety of topics including block trading, order routing, new products, services and other initiatives
  • Create and deliver training courses relevant to your areas of coverage 
  • Help ensure that appropriate regulatory policies, procedures, and controls are established, maintained, and documented
  • Help with annual reviews of the firm’s compliance program
  • Provide support on regulatory and annual compliance examinations

What we’re looking for

  • Compliance experience supporting and overseeing broker-dealer Capital Markets and/or Operations department activities 
  • Thorough knowledge of FINRA and SEC rules and regulations governing broker-dealers, including best execution, trade reporting and trade allocation
  • Strong analytical and problem-solving skills, as well as the ability to exercise sound and balanced judgment
  • Ability to build effective relationships and develop strong partnerships across the business
  • A solutions-oriented mindset and organizational agility 
  • Excellent writing and communication skills
  • A meticulous attention to detail

What being at Betterment means for you

We change lives

Join a community of innovators working to transform financial outcomes for real people. Your work will make an impact, always laddering up to our mission: making people's lives better.

We set audacious goals

We set them for the company, our customers, and ourselves—and we won’t stop until we reach them. We don’t just show up; we give our all, then celebrate our wins.

We value all perspectives

When we collaborate, we're at our best. We believe diverse perspectives lead to better outcomes and strive to uphold our supportive and inclusive community.

 We invest in you with:

  • A competitive suite of benefits, including: medical, dental, and vision insurance; life and AD&D insurance; STD and LTD benefits, including infertility support and World Professional Association for Transgender Health approved benefits; and generous parental leave. 
  • Flexible paid time off (and encouragement to use it!)
  • Meaningful opportunity for community building through our 7 Employee Resource Groups
  • Empowerment to own and lead change and affect the business
  • Dedicated professional development opportunities
  • Lunch from our in-house chef three days a week at our NYC headquarters

What happens next

We’ll take a few weeks to review all applications. If we’d like to spend more time with you, we’ll reach out to arrange next steps, which will include 3-4 sets of meetings with your future colleagues.

In the interview process, we’ll look to learn more about your skills, experiences, capabilities, and motivators. Many of our questions will be aimed at understanding how you might operate here at Betterment. Depending on the role, we may ask you to complete a case study exercise or technical assessments, as we want to collect a robust set of data points to better inform our decisions.

On average, it takes us around 3-5 weeks to make a hiring decision, depending on your availability and sense of urgency. As a best practice, we aim to interview at least 2-3 final round candidates before making a hiring decision. Please note that, as we usually receive an overwhelming number of  applications for open positions, we’re unable to offer individual feedback during the interview process. 

We recognize that interviewing for a new role is a big deal. We appreciate you considering Betterment as the next step in your career, and our Recruiting Team is here to support and advocate for you through the interview process!

Please note that Betterment is dedicated to providing accommodations to candidates upon request. If you need accommodations at any point throughout the interview process, please reach out to your recruiter.

Come join us! 

We’re an equal opportunity employer and comply with all applicable federal, state, and local fair employment practices laws. We strictly prohibit and 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 and 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. 

E-Verify Statement

Betterment participates in E-Verify. We will provide the Social Security Administration, and if necessary, the Department of Homeland Security, with information from each new employee’s Form I-9 to confirm work authorization. Please note that we do not use this information to pre-screen job applicants.
E-Verify Notice
E-Verify Notice (Spanish)
Right to Work Notice
Right to Work Notice (Spanish)

CPRA Language - CA Applicants ONLY 

We collect and store personal information for the purposes of candidate tracking (for this role and future opportunities). The information you provide in the course of completing your application will be kept for up to 24 months. We use tools provided by third-party service providers but do not share candidate information for any purpose other than for recruiting. To access the data that is collected, request deletion or to make updates to your candidate profile, please email team.hire@betterment.com

Client-provided location(s): 61 W 23rd St, New York, NY 10010, USA
Job ID: 5831376
Employment Type: Other