Compliance Manager at Stash
Stash is a digital-first financial services company committed to making saving and investing accessible to everyone. By breaking down barriers and building transparent, technology-driven products, we help the 99% build smarter financial habits so they can confidently save more, grow wealth, and enjoy life.
As a Compliance Associate/Manager, you’ll 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.
Stash’s compliance function is comprised of 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:
- Provide up-to-date advice on regulatory compliance requirements with respect to the development and maintenance of the firm’s products, services, and advertising, and provide full lifecycle support of cross-functional guidance on applicable consumer financial protection and securities laws, rules, and regulations.
- Review and approve Product and Marketing content for compliance with securities laws, rules, and regulations and with the firm’s ethical and reputational expectations.
- Coordinate with Product, Marketing, Legal, Engineering, Operations, and Revenue stakeholders to assist with new business initiatives and regulatory requirements.
- 3-4 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
- Bachelor’s 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
- 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
We believe that diversity and inclusion are essential to living our values, promoting innovation, and building the best products out there. Our success is directly related to the employees that we hire, grow and retain 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. We do not discriminate on the basis of race, color, gender, sexual orientation, gender identity or expression, religion, disability, national origin, protected veteran status, age, or any other status protected by law. Everyone is encouraged to apply.
Benefits & Perks:
- Equity in Stash
- Flexible Vacation
- Family-Friendly Medical, Dental, and Vision Insurance Plans
- Learning & Development Stipend
- Commuter Benefits and Flexible Spending Account (FSA)
- Employee referral bonuses
- Stocked fridges & kitchens and catered lunch on Fridays
- Thursday happy hours
- Team outings that do not involve trust falls...
Awards & Recognition:
- Forbes Fintech 50 (2019)
- LendIt Fintech Innovator of the Year (2019)
- Built in NYC's Best Places to work (2019)
- Built in NYC’s Startups to Watch (2018)
- Wall Street Journal's "Top 25 Tech Companies To Watch" (2018)
- MarCom Awards Double Gold & Platinum Winner (2018)
- Webby Award Winner for Best Mobile Sites & Apps in the Financial Services and Banking category (2017)
- W3 Awards Winner for Best User Experience (2017)
**No recruiters, please.