Sr. Director, Compliance

Betterment • New York City, NY

3d • $215,000 - $250,000 • Hybrid

About The Position

You are eager to join a dynamic team to help run and enhance the compliance operations and marketing functions at one of the most innovative registered investment advisers and broker-dealers. You’re thorough, organized, intellectually curious, and detail-oriented. You love building things from scratch, developing processes and thrive in a fast paced environment. You’re familiar with the applicable rules and are excited to use those skills to enhance the compliance program. You are ready to roll up your sleeves and get to work in an exciting work environment! In this role, you will orchestrate our most critical compliance operations. You will ensure that the elements of the compliance program are executed, holding your teammates accountable to execute their compliance routines, and, through critical analysis of potential strengths and weaknesses of the program, recommend enhancements. You ensure the trains are running on time, while figuring out how they can run better and faster. This role is based out of our NYC office.

Requirements

• Deep and varied experience in the financial services industry, supporting and overseeing compliance programs
• Experience managing small teams and the ability to influence cross functional teams
• Knowledge of FINRA and SEC rules
• Strong organization and time management skills to ensure deliverables meet the defined timeline and quality
• Meticulous attention to detail and written/verbal communication skills to manage project execution and overall coordination efforts of compliance team

Nice To Haves

• Series 24 preferred

Responsibilities

• Manage and develop a team of six (6) junior and mid-level employees
• Facilitate the operation of our compliance program
• Manage the law, rule, and regulation inventory, compliance policies, the regulatory change process, regulatory exams and audits
• Manage compliance key risk indicators
• Help prepare compliance program-related presentations for various committees
• Manage our monitoring and testing program
• Maintain compliance governance and reporting processes
• Enhance team operations and workflow management, including ensuring team procedures are properly documented and updated
• Manage and oversee the daily review of marketing materials and social media related investment advisory and broker-dealer products to ensure adherence to SEC Rule 206(4)-1, FINRA 2210, Reg DD and other applicable regulations
• Partner and collaborate with the marketing team, including advising on initiatives to help achieve business goals
• Be the Compliance representative in the vendor management and oversight process
• Help formulate and organize team objectives
• Identify ways to improve Compliance team efficiency and organization

Benefits

• We offer a competitive equity package, health, dental and vision benefits, and a 401(k) offering with employer match as well as flexible PTO policy.
• This job is eligible for variable compensation in the form of a discretionary company incentive bonus.
• A competitive suite of benefits, including: medical, dental, and vision insurance; life and AD&D insurance; STD and LTD benefits, including infertility support and World Professional Association for Transgender Health approved benefits; and generous parental leave.
• Flexible paid time off (and encouragement to use it!)
• Meaningful opportunity for community building through our 7 Employee Resource Groups
• Empowerment to own and lead change and affect the business
• Dedicated professional development opportunities
• Lunch from our in-house chef at our NYC headquarters

What This Job Offers

• Job Type: Full-time
• Career Level: Director
• Education Level: No Education Listed