Director of Compliance

🔥 1 hour ago

🏄 California – Remote

🏄 California – Remote

⏰ Full Time

🔴 Lead

🚔 Compliance

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Wealthfront

WebsiteLinkedInAll Job Openings

201 - 500 employees

Founded 2011

💸 Finance

💳 Fintech

☁️ SaaS

💰 $69.7M Convertible Note on 2022-09

Finance • Fintech • SaaS

Wealthfront is a financial technology company specializing in automated investment services and financial planning tools. It offers a range of services including automated bond ladders, cash management with a competitive annual percentage yield, and comprehensive long-term investment strategies utilizing diversified index funds. Wealthfront's platform is recognized for its ease of use and efficient automation in managing savings, investments, and retirement funds. The company's offerings include FDIC-insured cash accounts, advisory services, tax-loss harvesting, and personalized investment portfolios. Wealthfront aims to help individuals grow their wealth through accessible, low-cost financial solutions tailored to individual risk preferences and financial goals.

📋 Description

• Lead the compliance risk management team, ensuring compliant operations, products, and services across the Company's various business lines and regulated entities. • Support the Chief Compliance Officer in designing, executing, and managing the enterprise-wide compliance and ethics program. Supervise and mentor Compliance staff, design training initiatives, and drive an organizational culture of ethics and accountability. • Lead the Governance, Risk, and Compliance (“GRC”) program for effective regulatory risk management, including developing and maintaining relevant process, risk, and control documentation. • Administer the Company’s policy governance program, which encompasses the development, publication, and maintenance of applicable policies and procedures for the Company and its regulated entities. • Develop, implement, and maintain a comprehensive AI governance framework to ensure the safe, ethical, and legally compliant deployment of artificial intelligence systems. • Plan, facilitate, and execute all necessary monitoring, testing, periodic risk assessments, executive reporting functions, and certification processes for the broker-dealer’s supervisory policies, ensuring compliance with relevant securities laws and regulations. • Lead the annual control evaluation and reporting requirements for the Company’s regulated entities, including the broker-dealer and two investment advisers. • Partner with the General Counsel and senior legal team to implement and maintain a regulatory change management program, analyzing new regulations and proactively creating compliant solutions for products and services. • Direct the Company’s compliance efforts related to its proprietary money market fund, the Wealthfront Treasury Money Market Fund (WLTXX). • Enhance and maintain organizational and record-keeping processes to enable timely and accurate responses to regulatory inquiries and examinations. • Coordinate the accurate and timely filing of all required regulatory documents, including ADV Part 1, ADV Part 2A, ADV Part 2B, Form BD, 17H, and 13F.

🎯 Requirements

• 10+ years of professional experience, including direct experience as a compliance professional at a broker-dealer or investment advisory firm • FINRA Series 7 and 24 or Series 14; willingness to obtain other registrations and/or licenses as necessary

🏖️ Benefits

• We are an equal opportunity employer and value diversity at our company. We do not discriminate on the basis of race, religion, color, national origin, gender, sexual orientation, age, marital status, veteran status, or disability status.