Finance//
Compliance Manager (LA, NYC or Remote US) at Albert
Sorry, this job was removed at 11:13 a.m. (PST) on Thursday, January 28, 2021
Who we are
Albert is a new type of financial service that uses powerful technology to automate your finances, with a team of human experts to guide you. Albert saves and invests automatically for you, helps you avoid overdrafts, finds savings you’re missing, identifies bills you’re overpaying, and much more. Text Albert a financial question, and we’ll not only offer guidance; we’ll help you make it happen.
We’re an LA-based startup with a proven business model, backed by top-tier institutional investors, with over 4 million users who have trusted Albert to help them achieve their financial goals. We’re on a mission to improve the financial lives of millions of people with a beautifully designed, simple product, and we’re looking for thoughtful, talented people to join us on our journey.
About the role
Our Compliance Manager will help us deliver on our mission by helping to design and implement an effective compliance program for our investment and banking services. A key member of our team, this high-visibility role will work closely with our Genius, Growth, and Product teams to ensure that the company complies with all regulatory and legal requirements.
Things you're good at
- Ownership: Dive in and take ownership of researching and providing guidance to stakeholders on regulatory and legal requirements.
- Organization: Work across various layers of our company in an inspired, efficient way. Provide hands-on remediation guidance to teams across the organization.
- Prioritization: Communicate priorities and drive consensus on the path forward. Identify, prioritize, and promote compliance practices that create the most impact in reducing overall regulatory risk.
- Collaboration: This role should seek to influence the design and implementation of compliance policies and procedures with upcoming products and services in mind.
Responsibilities
- Assist with development and implementation of policies and procedures to ensure compliance with state, federal, SEC, FINRA, and other applicable regulatory agencies
- Assist with marketing and advertising review for investment and banking products
- Assist with FINRA and SEC required correspondence review
- Assist in conducting reviews and audits of the internal compliance policies and procedures
- Provide support and training to FINRA and SEC registered customer service staff
- Assist with FINRA, SEC, and BSA related regulatory filings and reporting
- Track legal and regulatory developments impacting Albert’s products and services
- Assist with responding to customer complaints
- Assist with ad-hoc legal, operational, and regulatory projects
Requirements
- Minimum 5 years of experience in FINRA broker-dealer and SEC RIA compliance roles
- In-depth knowledge of FINRA marketing and advertising rules
- Experience with supervising FINRA registered representatives and SEC-registered advisers
- Experience with creating and implementing compliance policies and procedures
- Life and P&C insurance licenses a plus
- BSA and banking compliance experience a plus
- FINRA Series 7, 24, 66 (or 63 and 65) are preferred
Benefits
- Competitive salary and meaningful equity
- Health, vision and dental insurance
- 401k match
- Free lunch
Job Applicants California Privacy Notice
This California Privacy Notice applies to personal information of California job applicants that Albert collects and processes as it relates to the submission of a job application.
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