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Acorns

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Senior Compliance Officer

ComplianceComplianceFull TimeRemoteSeniorTeam 201-500Since 2012H1B SponsorCompany SiteLinkedIn

Location

California

Posted

87 days ago

Salary

$128K - $138K / year

Seniority

Senior

Bachelor Degree7 yrs expEnglish

Job Description

Senior Compliance Officer

Acorns

• 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.

Job 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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