Acorns - Sr. Compliance Officer
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Responsibilities
• Design & Implement: Create robust broker-dealer and investment advisory written procedures and SOPs that align with evolving regulatory requirements. • Review & Refine: Audit public communications and marketing materials to ensure they are consistent with regulatory guidelines and internal policies. • Voice of the Customer: Review customer communications to detect, identify, and document customer complaints, ensuring every concern is addressed with integrity. • Educate: Lead regulatory compliance training for registered associates to promote awareness and adherence to best practices. • Strategic Advisory: Act as a subject matter expert for management and key stakeholders on all compliance-related matters. • Regulatory Liaison: Coordinate and assist with regulatory inquiries and examinations from governing bodies. • Risk Mitigation: Lead comprehensive risk assessments to investigate, identify, and address potential compliance issues, recommending actionable solutions. • Collaborate: Partner with other compliance officers on various team projects and strategic initiatives. • Stay Ahead: Maintain current, expert-level knowledge of regulatory changes to keep Acorns ahead of the curve. • 7+ years experience with a Financial Services organization • FINRA SIE,Series 7, 24, 63 and 65 (or 66) licenses required • Proven experience in financial compliance, specifically with broker-dealer and investment advisory regulations. • Exceptional ability to evaluate risk and make sound decisions as an individual contributor or part of a fast-paced team. • Strong communication and interpersonal skills, with the ability to translate complex regulations into actionable business plans. • Experience with regulatory inquiries and a deep understanding of the current financial regulatory environment. • 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. • You are not expected to have experience with all listed requirements. If you feel passionately about Acorns' mission, vision and values, please apply.
Benefits
• A comprehensive benefits package for you and your family • Flexible work location, hours, and paid time off • 401(k) matching • Monthly Acorns account contribution & GoHenry account for your family • Mindfulness and Financial Wellness resources, Headspace and Addition Wealth • Acorns Career Development Program (Ongoing training sessions, development plans, development check-ins, Cornerstone’s online training platform) • Roots Leadership Program for Emerging Leaders • Community week onsite gatherings and various virtual events • 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. • The pay range for this position at commencement of employment is expected to be between $128,000 and $138,000/year; however, base pay offered may vary depending on multiple individualized factors, including market location, job-related knowledge, skills, and experience. The total compensation package for this position may also include other elements, including equity grants, and discretionary cash bonus awards in addition to a full range of medical, financial, and/or other benefits (including 401(k) eligibility and various paid time off benefits, such as vacation, sick time, and parental leave), dependent on the position offered. Details of participation in these benefit plans will be provided if an employee receives an offer of employment. • If hired, employee will be in an “at-will position” and the Company reserves the right to modify base salary (as well as any other discretionary payment or compensation program) at any time, including for reasons related to individual performance, Company or individual department/team performance, and market factors. • Work Authorization: • Acorns participates in E-Verify to confirm the employment eligibility of all newly hired employees. For more information about E-Verify, please visit http://www.e-verify.gov/www.e-verify.gov http://www.e-verify.gov
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