Sr. Director, Compliance

Betterment•New York, NY

23d•$215,000 - $250,000•Hybrid

About The Position

You are eager to join a dynamic team to help run and enhance the compliance operations and marketing functions at one of the most innovative registered investment advisers and broker-dealers. You’re thorough, organized, intellectually curious, and detail-oriented. You love building things from scratch, developing processes and thrive in a fast paced environment. You’re familiar with the applicable rules and are excited to use those skills to enhance the compliance program. You are ready to roll up your sleeves and get to work in an exciting work environment! In this role, you will orchestrate our most critical compliance operations. You will ensure that the elements of the compliance program are executed, holding your teammates accountable to execute their compliance routines, and, through critical analysis of potential strengths and weaknesses of the program, recommend enhancements. You ensure the trains are running on time, while figuring out how they can run better and faster. This role is based out of our NYC office. Below we've reflected the base salary range we would offer for this position. Actual salaries may vary depending on factors including but not limited to location, experience, and performance. The range listed is just one component of Betterment’s total compensation package for employees. New York City: $215,000 - $250,000 We offer a competitive equity package, health, dental and vision benefits, and a 401(k) offering with employer match as well as flexible PTO policy. This job is eligible for variable compensation in the form of a discretionary company incentive bonus.

Requirements

Deep and varied experience in the financial services industry, supporting and overseeing compliance programs
Experience managing small teams and the ability to influence cross functional teams
Knowledge of FINRA and SEC rules
Strong organization and time management skills to ensure deliverables meet the defined timeline and quality
Meticulous attention to detail and written/verbal communication skills to manage project execution and overall coordination efforts of compliance team

Nice To Haves

Series 24 preferred

Responsibilities

Manage and develop a team of six (6) junior and mid-level employees
Facilitate the operation of our compliance program
Manage the law, rule, and regulation inventory, compliance policies, the regulatory change process, regulatory exams and audits
Manage compliance key risk indicators
Help prepare compliance program-related presentations for various committees
Manage our monitoring and testing program
Maintain compliance governance and reporting processes
Enhance team operations and workflow management, including ensuring team procedures are properly documented and updated
Manage and oversee the daily review of marketing materials and social media related investment advisory and broker-dealer products to ensure adherence to SEC Rule 206(4)-1, FINRA 2210, Reg DD and other applicable regulations
Partner and collaborate with the marketing team, including advising on initiatives to help achieve business goals
Be the Compliance representative in the vendor management and oversight process
Help formulate and organize team objectives
Identify ways to improve Compliance team efficiency and organization