Who we are

Albert is a new type of financial service that uses powerful technology to simplify our customers’ personal finances. A startup with the backing of top-tier institutional investors, we have been trusted by over 1 million users to help achieve their financial goals.

Our mission is always at the forefront: to improve the financial lives of millions of people. We strive toward this mission with a simple, yet sophisticated product, and an in-house team of financial experts – or “geniuses” – who work directly with our customers. If you are a thoughtful, talented individual with an interest in this mission, we invite you to join us on our journey. Successful candidates will have a foundational knowledge of finance and the desire to better the lives of others.

About the role

The Compliance Manager is an integral role in Albert’s team. The person in this role will help oversee regulatory compliance matters for Albert’s three business entities, with a primary focus on Albert Investments, LLC, an SEC-registered investment adviser. This is a full-time position reporting to the General Counsel & Chief Compliance Officer. The key responsibilities for this role are:

● Oversee implementation of Albert Investments’ Code of Ethics (“COE”) compliance program, including evaluating and processing COE-related activities.

● Ensure firm-wide compliance with the Investment Advisers Act of 1940 and the firm’s regulatory compliance related policies and procedures.

● Work closely with the marketing team in the development and review of advertising and social media content and marketing programs.

● Provide compliance guidance for new product design and development initiatives.

● Manage Albert Investments’ periodic and ad-hoc external reporting and filing requirements.

● Coordinate regulatory examinations and prepare responses to information and document requests.

● Develop educational materials and conduct employee training sessions relating to the firm’s policies and procedures.

● Assist with oversight and ongoing improvement of Albert’s anti-money laundering program.

● Track legal and regulatory developments impacting Albert’s products and services with a particular focus on investment advisory and data privacy matters.

● Monitor state license renewals and file annual reports for all of Albert’s legal entities.

● Assist the General Counsel & CCO with ad-hoc legal, operational, and regulatory-related tasks and projects.

Requirements

• Minimum 3-5 years’ experience working for an SEC registered investment adviser or compliance consultant in a compliance or legal role.
• Bachelor’s degree in Business or related field preferred, Certified Anti-Money Laundering Specialist credential is a plus.
• Experience coordinating and responding to SEC examinations preferred.
• Strong working knowledge of the Investment Advisers Act of 1940, SEC and FINRA rules, and KYC/AML procedures and best practices.
• Ability to develop creative and balanced solutions to complex business and regulatory challenges.
• Experience with ComplySci and Global Relay or similar compliance platforms.
• Strong work ethic and attention to detail.
• Thrives in a fast-paced, evolving, and technologically driven environment.
• Excellent oral and written communication skills, including writing in plain English.

Benefits

• Competitive salary and meaningful equity.
• Health, vision and dental insurance.
• Free lunch. 
• Your own hardware budget.