Compliance, Broker Dealer CX, Senior Associate 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 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 Senior Associate, you’ll report to the Senior Director of Broker-Dealer 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, Compliance functional stakeholders partner with Customer Experience, Operations, Product, Marketing, and other stakeholder constituencies 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:
- Coordinate responses to regulatory filings, exams, and inquiries as they related to customer complaints
- Collaborate cross functionally with Customer Experience and Operational teams to provide real-time compliance guidance to unique customer disputes and inquiries.
- Work with Stash’s third-party banking partner to investigate and resolve complaints received stemming from Stash’s banking product.
- Refine the customer complaint escalation procedures to identify potential areas of risk exposure for Stash as they relate to customer complaints.
- Test Stash’s policies and procedures as they relate to customer inquiries to ensure effective end to end controls
- Candidates should have an impressive record of achievement and at least three years of relevant work experience that includes compliance exposure to retail broker-dealer operations, retail investment adviser operations, or consumer banking.
- Familiarity with relevant portions of key investment adviser and broker-dealer laws and regulations, such as the 1940 Investment Advisers Act and FINRA rules, as well as a desire to expand working knowledge of consumer compliance regulations applicable to financial services.
- The ability to be open to change in response to new information and craft customer-centric responses.
- Exemplary attention to detail, exceptional analytical skills, and strong judgment skills; analyzing and editing skills are of particular importance.
- Active FINRA Series 7 license
- Prior experience with consumer banking regulations
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.