Director, Broker-Dealer Regulatory Oversight at Stash
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.
Stash’s Legal & Compliance is seeking a Director of Broker-Dealer Regulatory Oversight to support the broker-dealer compliance team’s overall effective management of the company’s broker-dealer compliance program. As a Director of Broker-Dealer Regulatory Oversight, you’ll report directly to our Senior Director of Broker-Dealer Compliance. You will develop product-specific and function-specific skills and work closely with the compliance team, as well as stakeholders across the company’s product, marketing, engineering, finance, and operations teams. The new opportunities and challenges you encounter will give you the opportunity to shape the future state of Stash’s regulatory risk management initiatives while building a solid foundation for a successful career in 21st Century financial services.
Our compliance team is comprised of a committed group of professionals who seek to be the best at what they do each and every day. They exceed expectations and expect the same excellence of their teammates. When it comes to regulatory and ethical standards at Stash, exceeding the standard is the standard. As a Director of Broker-Dealer Regulatory Oversight, you will quickly become an integral member of the team with your own responsibilities. You will interact directly with stakeholders at various levels of the company and collaborate with product managers, business analysts, marketing professionals, software developers, and operations personnel.
The team’s recruitment and selection process is built upon the belief that a candidate’s alignment with its ethos is more important than a candidate’s skills and experience. The team values open-mindedness, conscientiousness, and equanimity. Candidates are evaluated on character first, aptitude second, and skills third. Your objective during the recruitment process should be to gain insight into the team ethos, as well to clarify for interviewers why you want to support Stash’s mission, why you would be well suited for such a calling, and how your track record of experience evidences alignment with the team ethos and the Stash mission.
What you'll do:
- Formulate and conduct the broker-dealer’s annual 3130 certification.
- Continue to develop and refine the broker-dealer’s testing program by using technology to develop testing methodologies that scale as Stash grows.
- Manage regulatory relationships and work with internal stakeholders to lead the development of regulatory responses to regulatory inquiries
- Partner with internal stakeholders in the continued development of internal control tools to effectively monitor ongoing brokerage activities.
- Support third-party oversight, ongoing risk reviews, and due diligence.
- Develop compliance-related training to registered employees of the broker-dealer and partners across affiliated entities.
What we're looking for:
- Eight or more years of work experience in broker-dealer compliance.
- FINRA Series 7 and 24
- Previous experience in communicating cross-functionally to coordinate with internal stakeholders and then craft responses to regulatory inquiries from the SEC or FINRA.
- Experience in developing exception reporting using a data interface (e.g. Looker)
- 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.
- Ability to program in SQL
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 Stipends
- Parental Leave [Primary & Secondary]
- BuiltIn’s 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**
This position may be performed remotely anywhere within the United States except the State of Colorado.