You are a compliance leader eager to develop extraordinary broker-dealer and investment adviser compliance programs at a cutting-edge financial technology company. You have a comprehensive vision and strategy for building out a compliance program. You’re also willing to roll up your sleeves and jump in with the team, advising on a range of regulatory matters, such as launching new products and partnering with banks. You have a business mind and can influence and partner across a company. You are always seeking new and improved ways of doing things. You have the confidence and ability to work productively with our regulators and internal team of six compliance professionals, and can communicate clearly and persuasively. You have experience with both broker-dealer and investment adviser compliance programs and operations.
But, most importantly, you are driven to help build an elite compliance department with a world-class team. You don’t want to do things the old ways—you want to improve. You want to build a team and organization we can all be proud of, one that changes the way people think about a compliance program.A Day in the Life:
- Lead our compliance organization, providing guidance and support to our business partners, senior management, Board of Directors, and compliance team.
- For both our investment adviser and broker-dealer entities, ensure that appropriate regulatory policies, procedures and controls are established, maintained and well-documented.
- Take ownership of all ongoing compliance review processes and requirements, including annual reviews and meetings, Form ADV and Form BD filings, review and drafting of policies and procedures, compliance program framework and operations, etc.
- Manage and coordinate SEC and FINRA regulatory examinations, including written responses.
- Partner with the Legal team to analyze changes to regulatory requirements, proactively handle regulatory developments, and advise on new product launches.
- Continue to develop and mentor our excellent compliance professionals.
- Become an industry thought leader as we grow and expand our business.
- A minimum of 8 years experience as a compliance professional at a SEC-registered investment adviser, broker-dealer, or regulator (diversity of experience strongly preferred).
- Experience with rules and regulations applicable to investment advisers and broker-dealers.
- Comfort with ambiguity—capable of solving complex problems independently in a fast-paced environment and adapting along the way.
- Demonstrated success as a values-based leader who can build and maintain a culture of empowerment, ownership, and accountability.
- Ability to initiate and drive projects to completion with minimal guidance.
- Strong organization, prioritization and time management skills.
- Substantial experience managing regulatory exams.
- Excellent writer and communicator.
- The ability to roll up your sleeves and get into the details.
- Series 7 and 24 (and have passed the Securities Industry Essentials exam if required).
- A genuine love for compliance, educating, and advising (it’s your thing!)
- Either been a CCO or the number two compliance professional for a SEC-registeredinvestment adviser and FINRA member broker-dealer.
- Juris Doctor preferred.
- Series 27 or 63.
- Familiarity with operations of broker-dealers subject to 15c3-3.
- Experience with banking regulations
Joining Betterment means joining a community of folks passionate about change, being on a team that cares for your health and well-being, and being on a journey of non-stop growth and evolution.
- You’ll join a Community:
- Betterment is a place to bring your best self. We welcome families (and pets) for all our activities such as lunches, company retreats, and celebrations.
- Make meaningful connections with your peers through interest groups, sports clubs, social events, meetups, and regular knowledge sharing.
- You’ll stay Happy and Healthy:
- Regardless of where you are, we will ensure you're well set up and cared for, through gym reimbursements, a customizable workstation, enrollment in our 401(k) service, flexible parental leave, and a whole suite of thoughtful benefits.
- You’ll have unlimited paid personal and vacation days, and a team that cares about your whole life, not just what you’re working on.
- You’ll Learn & Grow:
- Enhance your skills and abilities through Betterment University courses and additional spending for outside learning.
- Contribute to our knowledge and transparent workspace through mentoring and career coaching programs, weekly company meetings, show & tells.
Please note that Betterment is dedicated to providing accommodations to candidates with disabilities. If you need accommodations at any point throughout the interview process, please reach out to [email protected]About Betterment
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 500,000 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.