Senior Compliance Officer

April 26

Ellevest

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We help women build and manage their wealth — learn more at ellevest.com.

Personal Finance • Investment Advice • Software • Portfolio Management

51 - 200

Description

• Administer and maintain the compliance program, including the company’s policies, procedures, and Code of Ethics by helping to identify and assess new business and regulatory risks • Provide compliance training and guidance on investment advisory compliance issues • Lead compliance monitoring and surveillance program • Review marketing materials for compliance with regulatory requirements • Maintain Ellevest’s Form ADV, including its advisory and wrap fee brochures • Support regulatory examinations and compliance testing • Support onboarding and offboarding employees and contractors • Serve as the compliance liaison to Ellevest’s risk management committees • Work with external partners to support compliance operations and processes

Requirements

• 5+ years of compliance experience within financial services, and more specifically Registered Investment Advisors (RIA) experience (Fintech experience is a plus but not required) • Fluency in all SEC-registered investment advisor issues, including the Investment Advisors Act of 1940, Securities Act of 1933, and the ability to apply that knowledge strategically in light of changing regulations and business initiatives • Experience building and implementing risk-based compliance testing and monitoring programs • Risk-based critical thinking skills and strong written and oral communication skills • Ability to work with a sense of urgency and deliver work with the appropriate level of accuracy, proficiency, and timeliness • Impeccable integrity and a customer-first ethos • Project management and process improvement capabilities with the ability to prioritize and manage multiple projects independently • Passion for the women-oriented mission

Benefits

• equity • 401k plan with employer contribution • medical, dental and vision health insurance (80% of premiums covered by employer) • unlimited paid time off and flexible scheduling • paid parental leave • learning and development opportunities • financial support for accessing reproductive healthcare • free access to Ellevest membership and discounts on Wealth Management offering