Sr. Manager, HCC Policy & Program Management 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.
We are seeking a Senior Manager, Holding Company Compliance Policy and Program Management with a strong working knowledge of federal and state investment management and retail broker dealer laws and regulations, to develop a Stash-wide compliance program and collaborating across functional teams within Compliance, as well as Legal, Risk, Operations, Product, Engineering, and key business partners.
The successful candidate will have a broad based knowledge of financial services regulations and industry standards, a willingness to dive deep into a subject and build a tailored, streamlined approach to complex issues across Stash.
Stash’s Compliance team is composed of a diverse array of individuals. The team approaches its work with curiosity and enthusiasm, and encourages teammates to participate in the broader Stash community. The team seeks to exceed expectations and expects the same excellence of each teammate.
When it comes to regulatory and ethical standards at Stash, exceeding the standard is the standard.
The Compliance team’s recruitment and selection process is built upon the belief that a candidate’s alignment with the team’s 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’s ethos, as well as to clarify for interviewers why you want to support our 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 company mission.
Holding Company Compliance is responsible for developing an enterprise-wide view of compliance risks and developing enterprise-wide approaches to issuance of policies, ethics programs, and other matters. Additionally, the team provides training, advice and reports on the effectiveness of Stash's compliance programs.
What you’ll do:
- Actively participate in the development of an enterprise-wide compliance program
- Identify and test compliance topics on an end-to-end enterprise wide basis to identify synergies, gaps and recommend streamlined approaches (horizontal compliance testing)
- Assess and recommend tailored approaches to enterprise compliance topics, including policies, procedures and training
- Lead the build-out of enterprise wide programs and conduct periodic assessments of effectiveness
- Prepare written reports for the Sr. Director of Holding Company Compliance detailing identified issues and action plans resulting from horizontal and vertical testing
- Participate in due diligence and monitoring of new, modified, or expanded products and services and regulations
- Partner with Legal, Risk, and units within Compliance to manage the information flow of compliance advice, support, and requirements gathering with respect to Product, Operations, and Engineering
Who we’re looking for:
- 7+ years of experience in Investment Management or Broker-Dealer compliance or risk management in the financial services industry
- Experience with compliance testing/audits and compliance risk management
- Experience in implementing process improvements
- Highly-developed interpersonal skills and an aptitude for building strong relationships with stakeholders across various seniority levels and specialties 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 judgment skills.
- Experience prioritizing, planning, and executing on compliance requirements for large projects
- Experience developing and implementing new policies, strategies, and work processes across multiple operational units and business affiliates
- Ability to exercise strong judgment and decision-making in a collaborative consensus-driven environment
- Experience managing compliance risks arising from a platform-as-a-service FinTech
- Experience managing compliance risks arising from diverse regulatory environments
- Experience implementing policy frameworks and/or compliance risk frameworks
- Certified Regulatory Compliance Manager and other relevant professional certifications
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**