Human Interest is on a mission to ensure that people in all lines of work have access to retirement benefits.
Social security, our nation’s retirement safety net, is projected to be insolvent as soon as 2035, making employer-sponsored 401(k) plans the primary retirement savings vehicle in the U.S. Nearly half of all working Americans are not saving enough for their future because they are employed by a company that doesn’t offer a retirement plan. Human Interest is changing that by making it affordable and accessible for small and medium sized businesses to offer employees a path to financial independence through retirement savings.
Our values are the guiding principles we use to build solutions for plan administrators and participants. They reflect our point of view on what’s important and what’s right:
In it for customers, autonomous & accountable, outcomes driven, inclusive collaboration, and decisive.
Human Interest Advisors LLC (HIA) has an SEC Compliance Analyst position open. Our client base is growing, and this is an exceptional opportunity to join Human Interest. Our investment platform allows 401k plan participants to invest in diversified portfolios made up of low cost mutual funds.
As a member of the Compliance team, you will help oversee investment processes, portfolio management, performance reporting, and other areas related to Human Interest’s investment advisory services. You will serve as a liaison between product operations, engineering, marketing and compliance. If you love compliance (yes..love) and want to delve deeper into the many facets of the Investment Advisors Act of 1940 and related Compliance Program (under Rule 206(4)-7), this may be the role for you!
What you get to do everyday:
- Work with Human Interest’s Corporate Compliance Manager and Product & Investment Strategy Lead to help administer Human Interest’s Compliance Program
- Serve as key liaison between various departments and key internal stakeholders in order to achieve compliance objectives
- Responsible for employee monitoring: personal trading, outside business activities, gifts and entertainment and other Code of Ethics related matters
- Assist with the review of marketing materials and sales collateral per the SEC Advertising Rule.
- Assist with Human Interest’s annual compliance review process under SEC Rule 206(4)-7
- Monitor compliance testing calendar and hold stakeholders accountable for completion
- Conduct additional ad hoc compliance assignments as requested.
What you bring to the role
- Bachelor's Degree in Economics, Finance, Accounting or Business Administration
- 3+ years prior experience
- Series 65 or desire to obtain upon hire
- A general understanding of the SEC rules and regulations governing compliance programs for investment managers
- A general understanding of SEC advertising rules
- Ability to work well across various business units and develop strong partnerships
- Ability to initiate and drive projects to completion with minimal guidance
- A serious desire to learn, grow and develop as a professional
- Must be comfortable with change and have a desire to work in a dynamic work environment
Please feel free to apply to this position even if you do not meet 100% of the requirements listed above.
About Human Interest:
We are a high-growth, Series C-funded company on a mission to change the retirement industry. We’re building a best-in-class product to make it possible for smaller businesses to give their employees a path to financial independence. Namedone of America’s Best Startups by Forbes and one of the Best Places to Work by the San Francisco Business Times, we’re continuing to grow and looking for incredible talent that can help us achieve our mission: ensuring that people in all lines of work have access to retirement benefits.
Inclusive collaboration makes us a better business
We deliberately build processes to create a workplace where all are welcome and accepted. We're proactive and purposeful in prioritizing diversity and inclusion internally not only because it's the right thing to do, but also because we believe it's the only way to effectively create products and services that can be truly helpful to all people.
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, pregnancy or any other characteristics protected under federal, state, or local laws.
Human Interest employees must adhere to the Company’s security policies and Code of Ethics.
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.
Pursuant to the San Francisco Fair Chance Ordinance, we will consider for employment qualified applicants with arrest and conviction records.