Want to help everyday Americans invest and build wealth? Financial inequality is increasing, and too many people are getting left behind. At Stash, we are passionate about democratizing wealth creation through education, advice, and products that help customers achieve greater financial freedom.
As a Senior Compliance Manager youll report to our Head of Business Line Compliance, and collaborate with functional areas across the company to ensure compliance with applicable federal consumer laws and regulations. Through teamwork, commitment, and a bias toward action, Business Line Compliance functional stakeholders partner with Product, Marketing, and other constituent stakeholders to assist Stash in exceeding its ethical and regulatory expectations.
Stashs compliance function comprises a diverse array of academic and professional backgrounds, and we encourage each of our team members to strive for world-class performance. Compliance selects for candidates who possess high degrees of open-mindedness, conscientiousness, and equanimity.
What you'll do:
- Review and approve Marketing content for compliance with securities laws, rules, and regulations and with the firms ethical and reputational expectations (this also includes advertising related to Social Media content)
- Review and approve platform designs (Product) for compliance with securities laws, rules, and regulations with the firms ethical and reputational expectations
- Provide up-to-date advice on regulatory compliance requirements with respect to the development and maintenance of the firms advertising, and provide full lifecycle support of cross-functional guidance on applicable consumer financial protection and securities laws, rules, and regulations
- Coordinate with Product, Marketing, Compliance, Legal, Engineering, Operations, and Revenue stakeholders to assist with new business initiatives and regulatory requirements
- Draft and updating desktop procedures related to Marketing and Product based on regulatory, product and strategic changes accordingly
- Manage implementation and development of the Business Line Compliance Training Program and assist with the Business Line Compliance exceptions management process
- Manage multiple direct reports
What we're looking for:
- 6+ years of experience at either a broker-dealer, investment advisory firm, fintech startup, or bank, or, alternatively, as a regulatory compliance professional outside of the financial services industry
- Bachelors Degree in a hard science, engineering discipline, or a quantitative field
- Highly-developed interpersonal skills and an aptitude for building strong relationships through the use of engaging, courteous, and persuasive communication styles
- Exceptional verbal and written communication skills and an aptitude for thinking clearly about complex issues under conditions of ambiguity, uncertainty, and high pressure
- Exemplary attention to detail, exceptional analytical skills, and strong judgement skills
- Ability to multitask and prioritize in a fast moving, high pressure environment
- Familiarity with Social Media Platforms (Twitter, Facebook, Reddit, Instagram, Linkedin)
- People management experience
- Excellent understanding of digital banking channels, including mobile and other web-based technologies
- Experience with product management and/or agile technology development, especially with respect to venture-backed entities
- Familiarity with concepts, tools, and solutions used by product management and software development teams such as application development protocols, cloud-based solutions, and UX/UI design/development process
- Project management experience
- Juris Doctor
At Stash it is our mission to help everyday Americans invest and build wealth. That includes people of all races, genders, and abilities, so it is important to us to acknowledge and address the issues of inequality in financial services head on.
Diversity and inclusion are essential to living our values, promoting innovation, and building the best products. Our success is directly related to our employees and we believe that our team should reflect the diversity of the customers that we serve. As an Equal Opportunity Employer, Stash is committed to building an inclusive environment for people of all backgrounds.
If you require any reasonable accommodations to make your application process more accessible please reach out to [email protected].
Invest in Yourself:
- Equity & Stash Accounts [Invest, Retire, Custodial, Bank]
- Flexible PTO
- Learning & Development Fund
- Work from Home Stipends
- Parental Leave [Primary & Secondary]
- BuiltIns Best Places to Work (2019, 2020, 2021)
- Forbes Fintech 50 (2019, 2020, 2021)
- Best Digital Bank, Finovate Awards (2020)
- Tearsheet Challenge Awards, Best Banking Card Product - Stock-Back Card, 2020
- LendIt Fintech Innovator of the Year (2019 & 2020)
**No recruiters, please**
This position may be performed remotely anywhere within the United States except the State of Colorado.