Sr. Director, Compliance
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Job Location:
New York City, NY - USA
Monthly Salary:
$ 215000 - 250000
Posted on:
11 hours ago
Vacancies:
1 Vacancy
Job Summary
About Betterment
Betterment is a leading technology-driven financial services company that offers investing and retirement solutions for retail investors and investment advisors as well as financial wellness solutions including a 401(k) for small and medium-sized businesses. Our team is passionate about our mission to empower people to build wealth with confidence and ease. Were headquartered in NYC and offer hybrid NY-based positions (Four days/ week in-office).
About the role
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. Youre thorough organized intellectually curious and detail-oriented. You love building things from scratch developing processes and thrive in a fast paced environment. Youre 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. Below weve reflected the base salary range we would offer for this position. Actual salaries may vary depending on factors including but not limited to location experience and performance. The range listed is just one component of Betterments total compensation package for employees.
New York City: $215000 - $250000
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 day in the life
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
What were looking for
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
Series 24 preferred
What being at Betterment means for you
We change lives
Join a community of innovators working to transform financial outcomes for real people. Your work will make an impact always laddering up to our mission: making peoples lives better.
We set audacious goals
We set them for the company our customers and ourselvesand we wont stop until we reach them. We dont just show up; we give our all then celebrate our wins.
We value all perspectives
When we collaborate were at our best. We believe diverse perspectives lead to better outcomes and strive to uphold our supportive and inclusive community.
We invest in you with:
- 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 happens next
Well take a few weeks to review all applications. If wed like to spend more time with you well reach out to arrange next steps which will include 3-4 sets of meetings with your future colleagues.
In the interview process well look to learn more about your skills experiences capabilities and motivators. Many of our questions will be aimed at understanding how you might operate here at Betterment. Depending on the role we may ask you to complete a case study exercise or technical assessments as we want to collect a robust set of data points to better inform our decisions.
On average it takes us around 3-5 weeks to make a hiring decision depending on your availability and sense of urgency. As a best practice we aim to interview at least 2-3 final round candidates before making a hiring decision. Please note that as we usually receive an overwhelming number of applications for open positions were unable to offer individual feedback during the interview process.
We recognize that interviewing for a new role is a big deal. We appreciate you considering Betterment as the next step in your career and our Recruiting Team is here to support and advocate for you through the interview process!
Betterment is dedicated to providing accommodations to candidates upon request. If you need accommodations at any point throughout the interview process please reach out to your recruiter.
Please note that in any materials you submit you mayredactor remove age-identifying information such as age date of birth or dates of school attendance or graduation. You will not be penalized forredactingor removing this information.
Come join us!
Were 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.
E-Verify Statement
Betterment participates in E-Verify. We will provide the Social Security Administration and if necessary the Department of Homeland Security with information from each new employees Form I-9 to confirm work authorization. Please note that we do not use this information to pre-screen job applicants.
E-Verify Notice
E-Verify Notice (Spanish)
Right to Work Notice
Right to Work Notice (Spanish)
CPRA Language - CA Applicants ONLY
We collect and store personal information for the purposes of candidate tracking (for this role and future opportunities). The information you provide in the course of completing your application will be kept for up to 24 months. We use tools provided by third-party service providers but do not share candidate information for any purpose other than for recruiting. To access the data that is collected request deletion or to make updates to your candidate profile please email .
Required Experience:
Exec
Key Skills
- Abinitio
- Apprentice
- Dermatology
- Cost Estimation
- Data Networking
- Liaison
About Company
Betterment can help grow your money by making saving and investing easy.Invest in a tailored portfolio, set buckets for your goals, and earnrewards.
