Senior Compliance Associate

June 11

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Wealthfront

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Let us optimize your finances and take the work out of banking, investing, borrowing, and planning.

personal finance • investment management • portfolio management • software • financial planning

201 - 500

💰 $69.7M Convertible Note on 2022-09

Description

• Marketing & Communications: 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. Ability to support technology related builds and improvements for marketing and communications content. Articulate clear, compelling value propositions through subject matter expertise and innovate how content is developed and delivered to increase client engagement • Compliance Advisory: Provides content creators with actionable guidance and advice to effect compliance with regulatory and Wealthfront standards by reviewing 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 • Education, Training, and Promoting a Culture of Compliance: Develop, enhance, and deliver compliance ­related training to all Wealthfront employees, including training specific to rules, regulations, standards, and resources, such as required Annual Compliance Meeting, FINRA Firm Element, and continuing education • Compliance Administration (including Registration, Licensing and Onboarding): Provide compliance support in the onboarding process of new employees, as well as ongoing support of regulatorily­ required disclosure of personal securities accounts and transactions, outside business activities, political contributions, and others • Complaint Escalation and Response: Lead the cross-functional working group responsible for organizing, analyzing, and, when necessary, responding to written customer complaints • General Compliance Advisory: Provide business partners with actionable guidance and advice to support compliance with regulatory and Wealthfront standards in support of developing products, services, features, and strategic initiatives, with a strong focus on client service and operations • Assist with maintaining the Legal & Compliance Regulatory Calendar and coordinating, updating and filing broker­ dealer and investment adviser registrations, disclosures and reports (such as Form ADV, Form BD, Forms U4 and U5, Form 13F), and other related requirements • Audit and Regulatory Examinations: Provide general support to Compliance, Legal, Operations, Finance, and all other departments in preparing for and executing responses to routine audits and examinations • Policies and Procedures: Assist with formulating, implementing and updating broker-dealer and investment adviser compliance programs and initiatives • Culture of Compliance: Actively work with Wealthfront’s business partners to help identify areas of potential risk or non­compliance, and in collaboration with the General Counsel and Chief Compliance Officer, manage the documentation and resolution process

Requirements

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

Benefits

• 11 paid holidays • Generous Accrued Time Off increasing with years of service • Generous paid sick time • Annual day of service