Compliance Operations Associate at Betterment
Thank you for your interest in joining the team at Betterment! We are all finding ourselves in an uncertain environment given the ongoing developments with Coronavirus (COVID-19). As you know, Betterment’s mission is to empower people to make the most of their money so they can live better, and we maintain that steadfast commitment regardless of market conditions.
We are hiring slowly but thoughtfully at this time. We will be reviewing all applications for each open role on a weekly basis through June, 2020. Given this shift in hiring pace, you may not hear back from us for a few weeks. If your application seems like a good fit for this position, we will contact you in order to schedule a phone interview.About the right team member:
You are eager to join a dynamic team to help build out the compliance function at the most innovative registered investment adviser and broker-dealer in the world. You love efficient organization, tracking, and project management, and are excited to work in the compliance space. You have strong communication skills, attention to detail and accuracy, and are always seeking new and better ways to improve practices. You won’t accept less than a well oiled machine. You are ready to roll up your sleeves and get to work in the most exciting work environment there is!At Betterment you will get to:
- Help our Compliance team execute our investment advisory and broker-dealer compliance functions by building an efficient, automated, and transparent system that centralizes our ongoing tasks.
- Manage the teams regulatory tracking to ensure tasks are completed and deadlines are met.
- Help the team manage priorities and project work.
- Assist with organizing and coordinating the firm’s annual compliance reviews.
- Identify ways to improve Compliance team efficiency and organization.
- Support the Compliance team on execution of day-to-day tasks ranging from exam assistance, to training presentation support, to specific compliance projects.
- Monitor and review complaints.
- Manage firm compliance systems and recordkeeping.
- And so much more!
- 1- 2 years experience.
- A love for organization and a meticulous attention to detail.
- Excellent communication skills.
- A desire to work in a fast paced environment.
- Previous compliance experience.
- Familiarity with SEC and FINRA rules.
Betterment is the largest independent online financial advisor with more than $22 billion in assets under management. The service is designed to help increase customers’ long-term returns and lower taxes for retirement planning, building wealth, and other financial goals. Betterment takes advanced investment strategies and uses technology to deliver them to more than 480,000 customers across its three business lines: direct-to-consumer, Betterment for Advisors, and Betterment for Business. Learn more.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.