Sr. Compliance Associate (Broker-Dealer)

| Greater NYC Area
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’re familiar with the broker-dealer rules and are excited to develop your expertise in the investment advisory / broker-dealer compliance space. You have a business mind, and are always seeking new and better ways to improve practices. You are ready to roll up your sleeves and get to work in a fast paced world where you get to make a real impact!

At Betterment you will get to:
  • Execute on our broker-dealer compliance functions
  • Work with the broker-dealer Operations and Trading teams to ensure regulatory compliance with applicable rules and regulations 
  • Complete the annual review of the broker-dealer’s compliance program and independent AML audit
  • Manage broker-dealer core compliance obligations, including, registration processes, continuing education, annual training
  • Update written supervisory procedures and draft desktop procedures for broker-dealer functions
  • Assist with our regulatory and annual compliance examinations
  • Monitor employee communications in accordance with the firm’s e-surveillance program
  • And so much more!
You will be effective if you have:
  • 3-5 years experience in the Financial Services industry in a compliance, operations or risk role at a limited purpose broker-dealer 
  • Strong strategic and creative thoughts with the ability to critically analyze and balance risks, costs, and benefits
  • Detail-oriented mindset and excellent organizational skills
  • Ability to learn quickly and problem solve on the fly with limited guidance
  • Good intuition and ability to assess unclear situations with limited information
  • Strong communication skills with the ability to interact with team members and the business empathetically
Nice-to-haves:
  • FINRA securities licenses (SIE, Series 7, Series 24, Series 27)
  • Broker-Dealer back-office experience in Operations or Finance
  • Knowledge of sweep accounts and broker-dealer financial responsibility rules (Exchange Act Rules 15c3-1, 15c3-3, 17a-3, 17a-4, 17-5, and 17a-11)
  • Regulatory experience at FINRA or the SEC
About Betterment

Betterment is the largest independent online financial advisor with more than $20 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. 

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  • Engineering
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Location

We're centrally located in Manhattan right next to Madison Square Park. Enjoy all the great eats and a nice stroll around the park.

What are Betterment Perks + Benefits

Culture
Volunteer in local community
Friends outside of work
Eat lunch together
Intracompany committees
Open door policy
Team based strategic planning
Group brainstorming sessions
Pair programming
Open office floor plan
Diversity
Dedicated Diversity/Inclusion Staff
Unconscious bias training
Health Insurance & Wellness Benefits
Flexible Spending Account (FSA)
Disability Insurance
Dental Benefits
Vision Benefits
Health Insurance Benefits
Life Insurance
Wellness Programs
Team workouts
Betterment offers onsite yoga and bootcamps once a week for employees. We also have various team activities (e.g. soccer) that folks get together and play.
Retirement & Stock Options Benefits
401(K)
Company Equity
Performance Bonus
Child Care & Parental Leave Benefits
Generous Parental Leave
We provide up to 16 weeks of parental leave for the primary caretaker. Acme Co. also provides 12 weeks of leave for the secondary caretaker.
Flexible Work Schedule
Remote Work Program
Company sponsored family events
Acme co. sponsors family oriented events Annually.
Vacation & Time Off Benefits
Unlimited Vacation Policy
Sabbatical
Eligible employees get 31 days of paid sabbatical after their first 6 years of working at the company.
Paid Holidays
Paid Sick Days
Perks & Discounts
Beer on Tap
Casual Dress
Commuter Benefits
Company Outings
Stocked Kitchen
Some Meals Provided
We provide lunch three times a week on Monday, Wednesday and Friday. Lunch is curated by our in-house chef to be both seasonal and take note of dietary restrictions.
Happy Hours
Happy hours are hosted Once per week.
Pet Friendly
Fitness Subsidies
Betterment reimburses employees up to $900/year for fitness services.
Professional Development Benefits
Job Training & Conferences
Diversity Program
Lunch and learns
Cross functional training encouraged
Promote from within
Mentorship program
Continuing Education stipend
Time allotted for learning
Online course subscriptions available
Customized development tracks
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