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 Compliance Manager, youll collaborate with teams across the org to promote Stashs mission. You'll develop and support compliance programs encompassing the investment advisory and brokerage businesses including marketing and advertising, portfolio management, and trading. In this role, you will provide guidance and support to the company on a diverse suite of products and services and liaise with stakeholders across a wide array of verticals.
What you'll do:
- Provide full lifecycle support of policies and procedures (identify, evaluate, refine, and author) to support the compliance program and the development of new business initiatives and products
- Remain current on industry rules, regulations, and best practices to help ensure the firms compliance program meets regulatory standards
- Identify, develop, and provide compliance trainings to the firms employees on an ad-hoc and annual basis
- Assist in the design, testing, and implementation of new exception reports for trading, portfolio management, and investment advice
- Propose methods of compliance testing and execute plans in consultation with the BD and RIA CCOs
- Communicate identified issues to legal, compliance and business line stakeholders and collaborate with such constituencies to develop and implement a plan of corrective action and prepare written reports
- Develop regulatory reporting and filings in preparation for, and in response to, inquiries and audits from regulatory authorities
- Assist in corresponding with regulatory agencies, examiners, and auditors and assist with action plans created as a result of examinations, audits or internal testing
- Manage various ad hoc special projects related to legal and compliance governance
What we're looking for:
- High open-mindedness, high conscientiousness, and high equanimity
- At least 3 years of experience as a compliance professional at either a large broker-dealer, investment advisory firm, or bank that has a sizable operation in equities trading and is registered with the SEC
- 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 judgment skills
- Experience coordinating regulatory filings, ad hoc correspondence, and examinations
- Substantive working knowledge of portfolio management and equities trading and applicable securities regulations, including relevant provisions of the Investment Advisers Act of 1940 and the Securities Exchange Act of 1934
- Relevant understanding of regulatory/self-regulatory authorities (e.g., SEC, FINRA, NYSE, etc.)
- Previous experience at a regulator
- Juris Doctor
- Series 7
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 Space 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**