Senior Manager, Compliance

Job not on LinkedIn

October 24

🏄 California – Remote

Although this job is listed in California, this company may be open to hiring remote in other states.

🗽 New York – Remote

Although this job is listed in New York, this company may be open to hiring remote in other states.

💵 $145k - $170k / year

⏰ Full Time

🟠 Senior

🚔 Compliance

🦅 H1B Visa Sponsor

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Acorns

WebsiteLinkedInAll Job Openings

Fintech • B2C

Acorns is a financial technology company that helps individuals save and invest their money through a variety of automated features. By using spare change from everyday purchases, Acorns offers a seamless way to start investing with its Round-Ups® feature and expert-built diversified portfolios. The company also provides additional services such as Acorns Later for retirement savings and Acorns Early for children's investment accounts. Acorns offers a smart money app with easy-to-use features designed to grow money skills among users, including a Bitcoin-linked ETF for cautious cryptocurrency exposure and ESG portfolios for sustainable investing. While Acorns is not a bank, it partners with financial institutions to offer Visa™ debit cards as part of their comprehensive financial service offerings.

201 - 500 employees

Founded 2012

💳 Fintech

👥 B2C

📋 Description

• Modify, update, and implement the investment adviser and broker-dealer written policies and procedures in response to regulatory and business requirements. • Responsible for the annual review and refresh of the compliance department's Standard Operating Procedures (SOPs). • Identify, prioritize, and mitigate investment adviser and broker-dealer risks to ensure compliance with regulatory requirements across the organization. • Assist the CCO with SEC and FINRA examinations, inquiries, and requests from other relevant authorities. • Collaborate with key business partners such as Legal, Marketing, Product, Support, and Invest Operations to champion business and compliance initiatives. • Support the day-to-day compliance activities, including the review of customer complaints, marketing materials, referral program, and public communications, to ensure the firm adheres to regulatory, legal and internal policy standards. • Develop risk management strategies and contribute to strategic compliance goals aligned with the firm's mission. • Manage a small team of direct reports. Provide guidance, mentorship, and performance feedback to ensure the success of the compliance program. • Provide compliance insights to the CCO, CEO, and other key stakeholders. • Serve as a role model by embodying and promoting the firm's cultural principles.

🎯 Requirements

• FINRA Series 7 and 24 are required. Series 65 or 66 license or obtain it within the first 90 days. • 7+ years of compliance experience, SEC Registered Investment Adviser or Broker Dealer. • BS / BA Degree or equivalent. • Experience working with SEC and FINRA rules and regulations, specifically the SEC Marketing Rule and FINRA Rule 2210. • Prior work experience with the SEC or FINRA is highly desirable. • At least 2+ years of experience managing and developing team members, fostering growth and performance excellence. • Demonstrated experience motivating, supporting, and developing team members to meet performance expectations and build their careers. • Ability to align compliance strategy with organizational goals and guide the team through effective execution. • Strong ability to communicate compliance expectations and initiatives, clearly and effectively. • Passion for Acorns’ mission and a belief in the potential for societal change through innovative financial solutions. • Ability to align company vision and organizational goals with team execution. • Commitment to upholding policy and procedures per company standards. • Own strategic decision-making and effectively communicate direction to team members. • 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 to meet the needs of you and your family • Flexible paid time off • Numerous career possibilities that allow you to grow with Acorns • 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.