Senior Compliance Officer

About This Position

As a Senior Compliance Officer at Ellevest, you will work closely with the Chief Compliance Officer and assist in a broad range of compliance and regulatory matters aimed at developing and maintaining an effective investment advisory compliance program, by partnering with internal business units such as Portfolio Management,, Operations, Product, Marketing and Technology.

Responsibilities

You will:

  • Advise and assist the business in the establishment of an effective compliance program through the: (1) interpretation of applicable laws, regulations, rules and standards, (2) implementation and/or enhancement of Compliance risk assessments; and (3) the development of policies and procedures and other documents, to inform their conduct and practice.
  • Support ongoing compliance testing for the businesses, including annual and ongoing assessments of compliance programs, and create new testing as necessary in response to regulatory or business needs;
  • Review and advise the firm on its marketing and advertising materials for compliance with the Advisers Act and other applicable regulatory requirements.
  • Assist in the business in the development of its operational due diligence program. Serve as the compliance liaison to Ellevest’s risk management committees.
  • Support training of the firm regarding the Advisers Act, Securities Act of 1933 and other applicable regulations.
  • Work with the Compliance team to guide regulatory examinations including compiling information requested; and interface with the SEC and other examiners.

Requirements

You have:

  • 7-10 years of compliance experience within investment advisory and/or banking; JD preferred.
  • Working knowledge of the Advisers Act, SEC rules and regulations and no-action letter guidance for RIAs to serve as a subject matter expert within the group for regulatory compliance matters..
  • Risk based critical thinking skills and strong written and oral communication skills among different business audiences; client service oriented.
  • Project management and process improvement capabilities with the ability to prioritize and manage multiple projects in a fast-paced and dynamic work environment. This includes working independently and on a team.
  • Passion for our women-oriented mission.

About Ellevest

Ellevest is a transformative technology company created to help women achieve their financial potential. Ellevest helps women take control of their financial futures through investing, with a beautifully designed digital platform backed by an incredibly smart algorithm. Ellevest was co-founded by Wall Street veteran Sallie Krawcheck, chair of the Ellevate Network, previously CEO of Smith Barney and Merrill Lynch Wealth Management, formerly CFO of Citi, and author of “Own It: The Power of Women at Work.” Ellevest has raised over $44MM from investors like Rethink Impact, Salesforce Ventures, Khosla Ventures, Morningstar, and Venus Williams.

Ellevest has flipped the traditional approach to investing with a real-life, goal-based approach. Clients select personal financial goals such as buying a home, starting a business, raising a family, and retiring well, among others. Ellevest is unique in taking into account a woman’s longer lifespan and different salary curve, combined with her current financial picture, to construct highly customized investment portfolios for each of her goals. Ellevest’s unique algorithms are designed to get the client to her goal number or better in 70% of market scenarios, higher than traditional financial advisors.

Working at Ellevest

Ellevest is a leading tech company in New York City, with a thriving team across our engineering, product, marketing, client experience, investments, and operations organizations. We place a major emphasis on building a team and working environment where individuals can succeed professionally and personally. As a team member at Ellevest, you can expect to make a difference through your work, to have a direct impact on the achievement of a very meaningful mission, to significantly advance your career trajectory, and to have room for fun and fulfillment in your daily life. We know that achieving a mission as critical as ours requires incredible talent and teamwork, and team is the most important thing to us.

In 2018, Ellevest was awarded the #14 spot on LinkedIn’s list of most sought-after startups, as well as a spot on CNBC’s Disruptor 50 list -- “identifying start-ups on the cutting edge of huge consumer, tech and business shifts”. In 2017, Ellevest was named one of Entrepreneur Magazine’s 100 Brilliant Ideas, and CNBC listed Ellevest as one of their Top 25 Most Promising Startups on a path to becoming tomorrow’s household names. We were also named one of Entrepreneur Magazine’s 100 Brilliant Ideas. We are working every day to make this a reality, and create a brand and a service that closes the female money gap.

Some Benefits of Working at Ellevest

  • Flexible Schedule & Vacation
  • Beautiful Office in Flatiron
  • Health, vision, and dental insurance
  • Parental leave policy
  • Retirement savings plan (401k)

We are an equal opportunity employer and value diversity at our company. We do not discriminate on the basis of race, religion, color, national origin, gender, sexual orientation, age, marital status, veteran status, or disability status.

Note: Instead of a cover letter, we ask you to answer the three questions at the bottom of this application.

 


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