Senior Compliance Associate

Summary

Wealthfront is seeking a talented and experienced compliance professional to join their Compliance Operations Team. The individual will assist with content development, provide compliance advice, develop and deliver compliance-related training, support the onboarding process, lead complaint escalation and response, maintain the Legal & Compliance Regulatory Calendar, and more. The estimated annual salary range is $133,000 - $165,000 USD plus equity and discretionary bonus.

Requirements

• BA/BS degree
• 4+ years of relevant experience
• FINRA Series 7
• Willingness to obtain FINRA Series 24 (or ability to obtain in 90 days)
• Willingness to obtain other registrations and/or licenses as necessary

Responsibilities

• Assist with content development and creation to align with firm initiatives related to products and services
• Provide guidance related to marketing rules and regulations to ensure content compliance
• Review all Wealthfront communications including all owned and paid media, web and mobile apps, social media, promotional and transactional emails, product workflows, blogs, FAQs, podcasts, presentations, and videos
• Develop, enhance, and deliver compliance-related training to all Wealthfront employees
• Provide compliance support in the onboarding process of new employees
• Lead the cross-functional working group responsible for organizing, analyzing, and responding to written customer complaints
• Provide business partners with actionable guidance and advice to support compliance with regulatory and Wealthfront standards
• Assist with maintaining the Legal & Compliance Regulatory Calendar and coordinating, updating and filing broker-dealer and investment adviser registrations, disclosures and reports
• Provide general support to Compliance, Legal, Operations, Finance, and all other departments in preparing for and executing responses to routine audits and examinations
• Assist with formulating, implementing and updating broker-dealer and investment adviser compliance programs and initiatives
• Actively work with Wealthfront’s business partners to help identify areas of potential risk or non­compliance

Benefits

• Medical, vision, dental benefits
• 401K plan
• Generous time off
• Parental leave
• Wellness reimbursements
• Professional development
• Employee investing discount