Senior Compliance Officer
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Job Description
Senior Compliance Officer overseeing financial services compliance at Acorns. Leading regulatory strategies and ensuring adherence to regulations for a financial wellness platform.
Responsibilities:
- Design & Implement: Create robust broker-dealer and investment advisory written procedures and SOPs that align with evolving regulatory requirements.
- Review & Refine: Audit public communications and marketing materials to ensure they are consistent with regulatory guidelines and internal policies.
- Voice of the Customer: Review customer communications to detect, identify, and document customer complaints, ensuring every concern is addressed with integrity.
- Educate: Lead regulatory compliance training for registered associates to promote awareness and adherence to best practices.
- Strategic Advisory: Act as a subject matter expert for management and key stakeholders on all compliance-related matters.
- Regulatory Liaison: Coordinate and assist with regulatory inquiries and examinations from governing bodies.
- Risk Mitigation: Lead comprehensive risk assessments to investigate, identify, and address potential compliance issues, recommending actionable solutions.
- Collaborate: Partner with other compliance officers on various team projects and strategic initiatives.
- Stay Ahead: Maintain current, expert-level knowledge of regulatory changes to keep Acorns ahead of the curve.
Requirements:
- 7+ years experience with a Financial Services organization
- FINRA SIE, Series 7, 24, 63 and 65 (or 66) licenses required
- Proven experience in financial compliance, specifically with broker-dealer and investment advisory regulations.
- Exceptional ability to evaluate risk and make sound decisions as an individual contributor or part of a fast-paced team.
- Strong communication and interpersonal skills, with the ability to translate complex regulations into actionable business plans.
- Experience with regulatory inquiries and a deep understanding of the current financial regulatory environment.
- Hunger to deliver 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 for you and your family
- Flexible work location, hours, and paid time off
- 401(k) matching
- Monthly Acorns account contribution & GoHenry account for your family
- Mindfulness and Financial Wellness resources, Headspace and Addition Wealth
- Acorns Career Development Program (Ongoing training sessions, development plans, development check-ins, Cornerstone’s online training platform)
- Roots Leadership Program for Emerging Leaders
- Community week onsite gatherings and various virtual events
- 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.
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