About the right team member:
You are an experienced compliance professional eager to flex your skills at a groundbreaking digital investment adviser and broker dealer. You know the rules and are ready to help us thoughtfully build out effective processes and procedures. You have a business mind and are always seeking new and improved ways of doing things. You have the confidence and ability to work productively with our regulators, partners, and internal teams. You can communicate clearly and persuasively. You have experience with broker-dealer operations and are comfortable in a fast-paced, dynamic technology-driven environment. You are eager to work hard and make an impact.
At Betterment you will get to:
- Help our Compliance team ensure that appropriate regulatory policies, procedures, and controls are established, maintained, and documented
- Develop and deliver employee trainings regarding regulatory risks and responsibilities
- Provide guidance and support to various business groups, with an emphasis on BD operations, trading and custody oversight
- Oversee our filings, including our Form BD filings, FINRA Rule 3120 report and Rule 3130 certification, licensing requirements, and U4/U5 filings
- Manage our compliance processes including: KYC, risk control framework, and the review and filing of customer complaints
- Assist with SEC and FINRA regulatory examinations
You will be effective if you have:
- 3-5+ years experience at an investment adviser, broker-dealer, or regulator (diversity of experience preferred)
- Thorough knowledge of FINRA and SEC rules and regulations governing broker-dealers
- Experience dealing with regulators and overseeing broker-dealer filings
- Strong analytical and problem-solving skills, as well as the ability to exercise sound and balanced judgment
- Excellent writing and communication skills
- Familiarity with operations of a retail broker-dealer
Bonus points if you have:
- Experience within a fintech or other technology company
- JD, MBA, or CFA
- Series 7, 24, 27
Betterment is the largest independent online financial advisor with more than $16 billion in assets under management. The service is designed to help increase customers’ long-term returns and lower taxes for retirement planning, building wealth, and other financial goals. Betterment takes advanced investment strategies and uses technology to deliver them to more than 400,000 customers across its three business lines: direct-to-consumer, Betterment for Advisors, and Betterment for Business. Learn more.
Come join us!
We’re an equal opportunity employer and comply with all applicable federal, state, and local fair employment practices laws. We strictly prohibit and do not tolerate discrimination against employees, applicants, or any other covered persons because of race, color, religion, creed, national origin or ancestry, ethnicity, sex, gender (including gender nonconformity and status as a transgender or transsexual individual), sexual orientation, marital status, age, physical or mental disability, citizenship, past, current or prospective service in the uniformed services, predisposing genetic characteristic, domestic violence victim status, arrest records, or any other characteristic protected under applicable federal, state or local law.