Director of Compliance (Investment Management) 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.
Stash’s Legal and Compliance plays a critical role in supporting the company in serving customers, and executes quickly and thoughtfully in managing a variety of complex legal and regulatory risks that come with being one of the country’s leading direct to consumer financial technology companies. We are seeking a Director of Compliance to become part of a small, highly skilled team responsible for managing regulatory risk. The Director of Compliance will report directly to our VP of Compliance and will be afforded the opportunity for broad exposure to Stash’s product, marketing, engineering, finance, trading, and operations stakeholders.
The successful candidate will support the management and administration of the compliance program for an SEC-registered investment adviser, which requires in-depth subject matter expertise and collaboration with various internal and external stakeholders, including regulators, legal counsel, and auditors. The role’s responsibilities also encompass advising on regulations, drafting policies and procedures, preparing regulatory filings, supporting regulatory examinations and audits, and managing the firm’s compliance testing and monitoring program including its personnel. Most importantly, the successful candidate exhibits a high degree of open-mindedness, conscientiousness, and equanimity.What you'll do:
- Oversee the firm’s policies and procedures and code of ethics and personal trading with respect to the Advisers Act.
- Monitor changes in regulations and implement appropriate amendments to compliance policies and procedures.
- Lead compliance monitoring, testing, and remediation efforts including annual and periodic reviews.
- Plan, develop, and deliver compliance training on the firm’s policies and procedures to the firm’s employees.
- Partner with in-house and outside counsel to analyze regulatory requirements and proactively manage regulatory risk.
- Identify potential areas of compliance vulnerabilities and risks, and lead projects with respect to the enhancement of the firm’s compliance program.
- Assist in the preparation of regulatory filings (e.g., Form ADV), review and oversight of new client agreements, and responding to regulatory inquiries - including the coordination of regulatory affairs and examinations.
- Candidates should have an impressive record of achievement and at least eight years of relevant work experience that includes meaningful exposure to investment management matters.
- The position requires familiarity with relevant portions of key investment management laws and regulations, such as the Investment Advisers Act and the Securities Exchange Act, as well as a desire to expand working knowledge of consumer compliance regulations applicable to financial services.
- Exemplary attention to detail, exceptional analytical skills, and strong judgment skills; drafting and editing skills are of particular importance.
- Experience with consumer compliance regulations (e.g., Regulation E, TISA, UDAAP, TCPA, and CAN-SPAM)
- Leadership experience
- Series 7, 63, 24
- 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, & More!:
* Equity In Stash * Flexible Vacation
* Four Family-Friendly Medical Plans * Two Dental & One Vision Insurance Plan
* 401k * Learning & Development Stipend
* Commuter Benefits * Flexible Spending Account (FSA)
* Employee Referral Bonuses * Stocked Fridges & Kitchens
* Thursday Happy Hours * Catered Lunch on Fridays
* Team outings that do not involve trust falls...
Awards & Recognition:
- Built in NYC's Best Places to work in 2019
- Built in NYC’s Startups to Watch in 2018
- Wall Street Journal's "Top 25 Tech Companies To Watch" in 2018
- MarCom Awards 2018 Double Gold & Platinum Winner
- 2017 Webby Award Winner for Best Mobile Sites & Apps in the Financial Services and Banking category
- 2017 W3 Awards Winner for Best User Experience
**No recruiters, please