Senior Associate, Broker Dealer Compliance
About The Position
Stash is hiring a Senior Associate, Broker Dealer Compliance to support compliance with applicable federal laws and regulations. The role works across the company with Compliance stakeholders and teams including Legal, Customer Experience, Brokerage Operations, Product, Marketing, and Engineering. It reports to the Vice President of Broker-Dealer Compliance. The position follows a hybrid schedule, with at least three days per week onsite at Stash’s New York office. The role focuses on providing compliance guidance for customer disputes and inquiries, coordinating regulatory responses, monitoring and testing policies and procedures, and escalating systemic issues.
Requirements
- At least one to three years of relevant work experience, including compliance exposure to retail broker-dealer operations, retail investment adviser operations, or consumer banking.
- Familiarity with relevant portions of broker-dealer and investment adviser laws and regulations, including FINRA rules and the Investment Advisers Act of 1940.
- Ability to respond to new information and craft customer-centric responses in ambiguous situations.
- Exemplary attention to detail, exceptional analytical skills, and strong judgment; analyzing and editing skills are particularly important.
- Active FINRA Series 7 license.
Nice To Haves
- Compliance testing experience.
- Experience working with Cursor, ChatGPT, Looker, SQL, or other analytical platforms.
Responsibilities
- Collaborate with Customer Experience and Operational teams to provide real-time compliance guidance on customer disputes and inquiries.
- Coordinate responses to FINRA regulatory filings, regulatory exams, and inquiries related to customer complaints across Stash entities.
- Monitor and test Stash Capital’s policies and procedures to ensure effective end-to-end controls in areas such as trading, money movement, and internal controls.
- Identify and escalate systemic issues surfaced by Stash’s Customer Experience team or other internal stakeholders to senior management.
Benefits
- Comprehensive total rewards package, including salary, equity, and health care benefits.
- Complimentary subscription to a Stash+ account.
- Flexible PTO.
- Work-from-home equipment stipend and home internet subsidy.
- Paid parental leave for birth-giving and non-birth-giving parents, with primary and secondary offerings.
- Enhanced health and wellness benefits through One Medical, Gympass, and Maven Health.
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What This Job Offers
Job Type
Full-time
Career Level
Senior
Education Level
No Education Listed
