Compliance Officer - FINRA Marketing/Advertising

| Greater LA Area
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. This is a multifaceted and hands on role.
Aspiration is looking for an Advertising Compliance Officer to join our growing team. This role is both unique and integral to the firm, in its alignment of compliance, investment operations, retail banking and customer service. The Advertising Compliance Officer will be the primary person responsible at the firm the review of marketing and advertising materials under FINRA rules.

What You'll Do

  • The incumbent will support the Chief Compliance Officer by administering marketing and communications reviews in accordance with Investment Advisers Act of 1940, the Securities Exchange Act of 1934, other relevant regulations, and internal policy requirements.
  • Proven ability to lead, organize, and administer marketing and communications review processes.
  • Work closely with internal teams to thoroughly review marketing and communications materials within agreed upon timeframe.
  • Review and edit marketing and communications materials and reports.
  • Interact with Compliance team, legal team, and colleagues throughout the organization to help resolve potential compliance issues.
  • Ensure compliance with SEC, FINRA and other applicable rules and regulations.
  • Executing industry best practices for monitoring fund and adviser service providers including due diligence and oversight 
  • Preparing and updating regulatory documents, including Form ADV, prospectus, statement of additional information, Form BR, and others as needed
  • Assisting with the 206(4)-7 annual review process 
  • Assisting with the 38(a)-1 annual review process
  • Providing advice and guidance to marketing and growth teams for financial promotions 
  • Filing all financial promotions with FINRA
  • Assisting with the management of the firm’s compliance training, licensing and registrations
  • Providing guidance to product teams on AML/KYC/CIP requirements for all investment, brokerage, and banking products 
  • Conducting regular compliance monitoring reviews 

What You'll Bring

  • B.A. in finance, economics or related field 
  • 3-5 years experience working in legal or compliance at an investment adviser and/or broker dealer
  • Strong understanding of the 1940 Investment Company Act
  • 2+ years reviewing and approving advertising/marketing materials with respect to FINRA Rule 2210
  • Series 7, 24 and either 63 or 66 licenses
  • Strong understanding of banking and investment product
  • Strong analytical skills with attention to detail
  • Interest in FinTech and working in a fast paced startup environment
  • Entrepreneurial - you do what it takes to achieve our goals, without having someone telling you what to do or being confined to normal business hours
  • Excellent written and verbal communication skills
  • Excel proficiency

What You'll Get

  • Making an impact for a company with a mission of transforming the financial industry and the lives of millions
  • People - the best part of Aspiration 
  • Competitive salary and equity incentives
  • Robust healthcare plans, 401K and unlimited vacation time
  • Dog-friendly office in beautiful Marina del Rey with an in-office gym
  • 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


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.


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.


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


Affiliate Manager

What are Aspiration Perks + Benefits

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.
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
Company Equity
Stock options are available to fulltime employees
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
Employees who have been with the company for 12 months are eligible for 12 weeks of family medical leave.
Vacation & Time Off Benefits
Unlimited Vacation Policy
Paid Holidays
Perks & Discounts
Casual Dress
Commuter Benefits
We offer employees Free on-site garage parking.
Pet Friendly
Aspiration's pet policy is Occasional bring your pet to work days.
Relocation Assistance
Our relocation assistance plan offers a maximum reimbursement of $5000.
Professional Development Benefits
Lunch and learns
Aspiration hosts lunch and learn meetings on occasion.
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