SEC Compliance Manager
Who are we?
Human Interest is a high growth venture-backed company that offers an easy and affordable 401(k) retirement plan for the modern workforce. We're a Series B company disrupting a massive but broken industry through empowering small to mid sized businesses to safeguard the financial futures of their employees -- something that only 14% are able to do today. We believe that all individuals deserve the opportunity for a secure financial future. We want idealistic and talented people to join our team of doers and builders.
Current 401(k) solutions for small businesses are built on legacy software, involve physical paper forms, and are sold with kickbacks to financial advisors whose interests are misaligned with the financial well-being of their clients. We've built an automated, paperless 401(k) that makes it possible for small businesses to offer a 401(k) benefit to their employees, and we’re proud to be working with 1800+ businesses across the country!
Why Legal & Compliance @ Human Interest?
We’re looking to add our first in-house SEC Compliance professional to the Human Interest team. The SEC Compliance Manager will be responsible for day-to-day compliance functions relating to our investment advisory business. The ideal candidate will be a hands-on business partner who enjoys working closely with teammates across functions and operating in a fast-paced, dynamic environment. You will have the opportunity to build and shape the corporate compliance function over time as we continue to scale our business. This role will report to the Head of Legal.
What You Get To Do Every Day:
- Evaluate current operational policies and procedures and execute program testing to ensure compliance with SEC regulations and industry best practices
- Proactively identify potential areas of compliance vulnerability and risk; develop and implement corrective action plans for resolution of issues
- Build tactical and scalable solutions for operational teams to manage ongoing tasks and minimize risk
- Facilitate and manage technical projects, by gathering requirements, developing and tracking project milestones, estimating work efforts, and managing competing priorities
- Design and maintain all relevant documentation and content
- Communicate progress and results to all relevant internal and external stakeholders
- Lead internal annual review process and all third party audits/exams
- Prepare and update all regulatory forms, file quarterly reports, and review/approve advertising and marketing materials
- Stay on top of SEC regulatory developments, state regulatory developments, industry trends, and product offerings and roadmaps to drive continuous improvements
- Liaise with our external consultants and counsel as needed
What You Bring To The Role:
- 5+ years of compliance experience in the financial services industry
- Knowledge of the Investment Advisers Act of 1940 and SEC rules and regulations
- Strong understanding of operational and regulatory compliance practices in investment advisory businesses
- Ability to manage projects and drive execution in collaboration with stakeholders across the company
- Strong business and operations acumen, with ability to explain potential compliance issues to business partners
- Must be a self-starter, detail-oriented and extremely organized
- Strong documentation skills and high level management reporting discipline
- High EQ and collaboration skills; good team player; able to work well and coordinate with team members in a high energy and fast paced environment
- Willingness to roll up your sleeves and take on tasks both big and small
- Strong sense of ownership, desire to make a cross-functional impact, and eagerness to learn
- Proficiency in Word, Excel, and G Suite tools
Human Interest is proud to provide amazing benefits and perks including:
- A great 401(k) plan: our own! Our 401(k) includes a dollar-for-dollar employer match up to 4% of compensation.
- Top-of-the-line health insurance plans as well as dental and vision insurance. Several options with medical premiums fully paid for by the company
- Flexible PTO policy.
- An annual membership to One Medical Group, with membership fees paid by Human Interest.
- Commuter and gym benefits.
- FSA with an employer contribution.
- Dollar-for-dollar match of employee donations to non-profit 501(c)(3) organizations, up to a set amount.
- Healthy snacks and drinks available at our office.
- Team retreats and outings.
Human Interest is an equal opportunity employer. All applicants will receive consideration for employment without regard to race, color, religion, sex, gender, gender identity or expression, sexual orientation, national origin, genetics, disability, age, veteran or military status, or any other characteristics protected under federal, state, or local laws.
Please note Human Interest does not accept unsolicited resumes from any source other than directly from candidates. We will not consider resumes from vendors including and without limitation search firms, staffing agencies, fee-based referral services and recruiting agencies.