Compliance Manager

| Greater NYC Area | Hybrid
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Stash is investing, simplified. We are an investing platform that makes it easy for anyone to start with as little as $5. By empowering our customers with education and guidance, we help investors learn the basics so they can do it themselves. At Stash, we are working toward a future where investors are as diverse as our world.

As a Compliance Manager, you’ll collaborate with teams across the org to promote Stash’s 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 firm’s compliance program meets regulatory standards
  • Identify, develop, and provide compliance trainings to the firm’s 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.)

Gold Stars

  • Previous experience at a regulator
  • Juris Doctor
  • Series 7
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Location

We offer employees the choice and flexibility to work where you want from anywhere in the US or UK. We offer stipends to make home offices productive and for those who don't live near our NYC and London offices, to secure space when they want it.

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