Compliance Manager at Aspiration

| Greater LA Area
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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 $115M in funding to date, and is growing quickly.
We’re looking for a dedicated and motivated Compliance Manager to help us ensure that the company is abiding by top management directives, regulatory guidelines, and relevant legal/human resource policies when performing any task or responsibility. You will work closely with the Chief Compliance Officer to create and implement industry best practices and compliant, professional standards in all activities in which Aspiration employees engage.

What You'll Do:

  • Assume key role in ensuring compliance with SEC, FINRA and other applicable financial regulations
  • Become an important part of an existing professional compliance team to integrate new strategies/products, firm initiatives, and regulatory changes into compliance framework
  • Assist in maintaining policies/procedures/regulatory risk-matrix/compliance calendar
  • Assist with regulatory reporting efforts
  • Stay current on relevant FINRA and SEC developments, as well as industry best practices
  • Work with finance and legal teams to gain compliance approval
  • Review external content created by marketing teams
  • Perform compliance reviews and fieldwork of all programs including deposit procedures and relevant annual reports 
  • Perform compliance reviews of internal employee communications, customer complaints, other employee surveillance matters, and provide reports for the same
  • Evaluate and iterate on current policies and procedures to ensure effectiveness, accuracy, and compliance with federal regulations
  • Assist in providing and organizing new hire and continued education for all staff
  • Attend monthly Management Compliance Meetings to address, diffuse, and resolve top priority and urgent compliance matters
  • Assist in preparing and executing materials for successful completion of regulatory exams

What You'll Bring:

  • Bachelor’s degree required
  • 1-3 years of applicable compliance experience in the financial services or financial tech industry
  • Requires FINRA Series 7 and Series 24 and either Series 63 or Series 66 licenses.
  • Genuine interest in developing your skillset and growing your career in the compliance space
  • Knowledge and understanding of SEC, FINRA rules/regulations, particularly with respect to the review of marketing materials.
  • Ability to effectively multi-task, manage deadlines, and demonstrate a willingness to learn
  • Must be detail-oriented with strong research and analytical skills

What You'll Get:

  • Work for a mission-driven company with the goal of transforming the lives of millions by building a better financial firm.
  • Work in sunny Marina del Rey, steps from bars and restaurants
  • Comprehensive medical, vision, and dental benefits
  • 401k
  • Flexible working hours and vacation time
  • Opportunity for company equity

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Technology we use

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

Location

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

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
Team based strategic planning
Group brainstorming sessions
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.
Retirement & Stock Options Benefits
401(K)
Company Equity
Stock options are available to fulltime employees
Performance Bonus
Child Care & Parental Leave Benefits
Generous Parental Leave
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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