Senior Manager, Compliance
Acorns
Compliance Consultant
AtomicVest
full-time
Posted on:
Location Type: Remote
Location: Remote • 🇺🇸 United States
Visit company websiteJob Level
Mid-LevelSenior
About the role
- Conduct and document marketing and advertising reviews for the firm’s broker-dealer, RIA, and activities of our business partners.
- Interact with business partners of the firm and provide regulatory guidance and training relating to their website, UI, App, and other marketing materials
- Assist with leveraging technology to enhance the automation of compliance
- Maintain and enhance compliance policies and procedures to align with evolving regulations and firm practices
- Develop proper internal control procedures relating to marketing reviews, business partner compliance, and other areas.
- Assist with the development and delivery of compliance training programs for employees
- Assist with regulatory filings, audits, and examinations as needed
- Analyze and research customer complaints, draft correspondence to regulators and customers, and assist with related filings
- Conduct and support risk assessments to identify and mitigate potential compliance, operational, financial, and regulatory risks
- Manage and oversee third-party due diligence processes for vendors and business partners
- Oversee individual and firm registrations with FINRA and the SEC
- Assist with obligations as it pertains to "Access Persons" for the RIA and "Registered Representatives and NRFs" for the broker-dealer
- Collaborate with business, legal, and operations teams to maintain consistent compliance practices across all departments.
Requirements
- FINRA Series 7 & 24 required
- 3-5 years financial services experience with a Broker Dealer and/or SEC registered investment advisor
- 2+ years experience reviewing marketing and advertising materials; strong understanding of FINRA Rules 2210 and 2211, the SEC Marketing Rule, and interacting with FINRA’s Advertising Regulation Department
- Experience drafting policies and procedures
- Technical aptitude and experience working with IT or Engineering department (in terms of Compliance collaboration) is important
- Knowledgeable of financial markets and investing
- Experience with systems such as Red Oak and Global Relay is a plus
- College degree preferred
- Knowledge of trading desk and back office mechanics
Benefits
- Equal opportunity employer that values the benefits of diversity
- Prohibits discrimination and harassment
Applicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard skills
FINRA Rules 2210FINRA Rules 2211SEC Marketing Rulepolicy draftingrisk assessmentcompliance automationinternal control proceduresregulatory filingsauditscustomer complaint analysis
Soft skills
regulatory guidancetraining deliverycollaborationinterpersonal communicationproblem-solvingorganizational skillsattention to detailanalytical skillsproject managementvendor management
Certifications
FINRA Series 7FINRA Series 24
