Director of Nursing, Regulatory Affairs
University of Arizona College of Education
Compliance Associate
Acorns
full-time
Posted on:
Location Type: Remote
Location: Remote • California, New York • 🇺🇸 United States
Visit company websiteSalary
💰 $62,200 - $70,000 per year
Job Level
JuniorMid-Level
About the role
- Help keep our supervisory documents—like WSPs and SOPs—accurate, up to date, and aligned with regulatory standards.
- Review regulatory disqualifying events and referrals across our entities to ensure we’re meeting SEC, FINRA, and banking requirements.
- Conduct regular social media reviews to monitor for quality, compliance, and brand integrity.
- Partner with a Senior Compliance Officer to support testing and monitoring efforts, organize data and documentation, and summarize findings.
- Serve as the go-to person for our ACA Compliance Management System, helping team members properly disclose and report Outside Business Activities, brokerage accounts, and private securities transactions.
- Support regulatory exams and requests by gathering and preparing key data and documentation.
- Manage and communicate regulatory continuing education requirements, ensuring team members complete assigned courses on time.
- Look for opportunities to streamline or automate compliance processes and help bring those improvements to life.
- Take ownership of assigned processes and manage them proactively as you grow in the role.
- Collaborate with senior members of the Compliance and Legal teams on additional projects and responsibilities.
- Participate in regular goal-setting and performance check-ins with your manager.
Requirements
- 1+ years of experience with a financial services company
- FINRA SIE preferred
- Associate’s degree
- Excellent communication skills (written and verbal)
- Ability to evaluate risk and work with leadership to make impactful decisions
- Solution-focused and risk-based approach to problem-solving
- Detail-oriented ability to work with multiple priorities in a fast-paced environment
- Comfortable working both independently and in a team environment and under tight deadlines
- Thirst for delivering game-changing products
- Exceptional drive and precision in delivery
- A belief that your work is tied to your life's mission
- Optimistic about the potential of societal change.
Benefits
- Competitive salary and stock options
- A comprehensive benefits package to meet the needs of you and your family
- Flexible work hours, location, and paid time off
- 401k discretionary match
- Monthly Acorns account contribution & GoHenry account for your family
- Wellness Days - Company-wide quarterly days off to rest + recharge
- Mindfulness, Mental Health, and Financial Wellness resources: Headspace, Ginger, and Addition Wealth are offered at no cost to you
- Acorns Career Development Program (Monthly Acorns to Oaks training sessions, development plans, quarterly development check-ins, Cornerstone’s online training platform)
- Roots Leadership Program for emerging leaders
- Monthly community celebrations, events, panel discussions, and speakers
- Talented and motivated team members who care deeply about one another, our mission, and our customers.
- The rare opportunity to create a new world. We inspire one another every day to do meaningful work that solves big societal challenges.
Applicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard skills
regulatory compliancerisk evaluationdata managementcompliance process automationsocial media compliance monitoringregulatory documentationACA Compliance Management SystemFINRA SIE
Soft skills
excellent communicationdetail-orientedsolution-focusedrisk-based problem-solvingability to work under tight deadlinesteam collaborationindependent workgoal-settingperformance managementoptimism
Certifications
Associate's degree
