Director of Compliance at Aspiration

| Remote
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Aspiration is the first VC-backed neobank on a mission to be the leading consumer financial services brand and company focused on sustainability and the environment. At Aspiration, we created the category of sustainable, socially responsible retail consumer finance. We offer unique financial products to let people save, spend, and invest their money in ways that make them more financially secure and align with their personal values. Unlike other financial institutions, Aspiration is committed to building a relationship with our customers based on trust and aligning the customer’s success with our own. Aspiration has raised over $200M in funding to date, and is growing quickly.
As the Director of Compliance, FINOP/POO, you will be responsible for supporting the capital operations and compliance activities of our broker-dealer and investment advisory businesses and will provide services to multiple teams within Aspiration. This person will develop and maintain effective and efficient operational, safety & soundness, capital risk management, and associated compliance programs, partnering with expert counsel to achieve effective processes and controls.
This position is open to remote candidates.

What You'll Do

  • Serve as the FINRA registered Principal Operations Officer (POO)/FINOP for a fully 15c3-3 reserved broker-dealer
  • Provide regulatory oversight, risk management and policy implementation for broker-dealer financial and operational regulatory responsibilities. 
  • Provide direction and guidance to firm leadership on financial and operational matters affecting compliance with FINRA and SEC regulations
  • Identify, assess and communicate new or changing regulatory requirements and proactively develop policies and procedures to address changes in regulation
  • Collaborate with relevant teams to ensure that new systems, products and processes will function in compliance with FINRA, SEC and other regulations
  • Support regulatory examinations and annual audits
  • Prepare and submit Rule 17(h) filings
  • Review and approve the Rule 15c3-3 customer reserve calculation
  • Review and approve the Rule 15c3-1 net capital computation
  • Review and sign off on daily operational and customer liability reconciliations
  • Assist with general broker-dealer and investment advisor compliance duties

What You'll Bring

  • 5 years of experience with a broker-dealer, regulatory agency or a consulting firm engaged in compliance work for broker-dealers
  • FINRA Series 27 required; Series 24 preferred, other certifications are helpful
  • Bachelor’s degree in a related field or equivalent combination of education and experience
  • Knowledge of 15c3-3 cash management sweeps is a plus
  • Broad knowledge of FINRA, SEC, banking and consumer finance regulations
  • Proactive, motivated, self-started preferred
  • Proficient in Microsoft Office and Google Suite, familiarity with FINRA Firm Gateway and SEC EDGAR a plus

What You'll Get

  • Making an impact for a company with a mission of transforming the financial industry and the lives of millions
  • Competitive salary and equity incentives
  • Robust healthcare plans, 401K and unlimited vacation time
  • Bright and collaborative office in beautiful Downtown Portland
  • Diverse & inclusive culture

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Technology we use

  • Engineering
  • Product
  • Sales & Marketing
    • GolangLanguages
    • PythonLanguages
    • RLanguages
    • SqlLanguages
    • ReactLibraries
    • PostgreSQLDatabases
    • RedshiftDatabases
    • Google AnalyticsAnalytics
    • LookerAnalytics
    • SegmentAnalytics
    • AmplitudeAnalytics
    • AdjustAnalytics
    • LucidchartsAnalytics
    • IllustratorDesign
    • InVisionDesign
    • PhotoshopDesign
    • SketchDesign
    • After EffectsDesign
    • ProcreateDesign
    • ConfluenceManagement
    • JIRAManagement
    • TrelloManagement
    • ClickupManagement
    • SmarshManagement
    • ZenDeskCRM
    • MailChimpEmail
    • IntercomEmail
    • MandrillEmail
    • SendGridEmail
    • IterableEmail
    • Impact RadiusLead Gen

Location

We're located in Marina Del Rey, steps from bars, shops, and restaurants. On Fridays there's a local farmer's market right on our block!

An Insider's view of Aspiration

What’s the vibe like in the office?

Aspiration has some of the smartest, most hard-working, and fun people I have ever worked with. The vibe is very fast-paced and exciting, and management is good at adjusting to different people’s work styles, allowing employees to work remotely and even bring their pups in on Fridays.

Jordan

Data Analyst

What's the biggest problem your team is solving?

We use cutting edge technology to solve both dated financial problems and problems that impact our environment. Aspiration is unique in that we are a financial firm focused on environmentalism while putting people before profits. For every solution we have to a banking problem, we're challenged with having an equal or greater impact on the world.

Chloe

Product Manager

How does the company support your career growth?

I joined Aspiration as an Account Manager. Now, I manage an affiliate program of 80+ accounts and support our direct media partners. In 1 year, I've grown beyond my own expectations. From leading a large product implementation to planning off-site activation events, my need of not being in a complacent position has been met from the moment I joined

Andre

Affiliate Manager

What are Aspiration Perks + Benefits

Culture
Volunteer in local community
Aspiration has participated in several volunteering activities, including Heal the Bay beach clean ups, LA Tech Gives Back beautification projects, and card making for Children's Hospital of LA.
Partners with Nonprofits
Aspiration partners with Accion, a nonprofit specializing in microloans. We give 10% of every dollar we earn to low-income Americans, funding up to $5,000 per person to jumpstart new businesses.
Friends outside of work
Eat lunch together
Intracompany committees
Aspiration has a communication committee that works to organize all-hands meetings, lunch and learns, and team-building events.
Daily sync
Open door policy
Team owned deliverables
Open office floor plan
Diversity
Documented equal pay policy
Highly diverse management team
Unconscious bias training
Diversity manifesto
Health Insurance & Wellness Benefits
Flexible Spending Account (FSA)
Aspiration employees can contribute up to $2600 annually to their FSA.
Disability Insurance
Disability insurance covers 60% of annual salary up to the maximum plan limit for up to 13 weeks.
Dental Benefits
Our dental plan covers 90% of premiums.
Vision Benefits
Aspiration covers 90% of premiums for vision coverage.
Health Insurance Benefits
Aspiration's health insurance policy covers 90% of medical premiums.
Life Insurance
Aspiration pays for basic life insurance coverage valued at $20,000 Basic Life & AD&D.
Onsite Gym
Retirement & Stock Options Benefits
401(K)
Company Equity
Stock options are available to fulltime employees
Performance Bonus
Child Care & Parental Leave Benefits
Flexible Work Schedule
Aspiration provides employees with a flexible work schedule that includes Flexible start and end times.
Remote Work Program
Family Medical Leave
Vacation & Time Off Benefits
Unlimited Vacation Policy
Paid Holidays
Perks & Discounts
Casual Dress
Commuter Benefits
Company Outings
Parking
Pet Friendly
Aspiration's pet policy is Occasional bring your pet to work days.
Relocation Assistance
Professional Development Benefits
Lunch and learns
Aspiration hosts lunch and learn meetings on occasion.
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