Assist with supervisory documents (WSP, Compliance Manual, Code of Ethics and SOPs), ensure they are accurate, up-to-date, and aligned with regulatory standards.
Support the review of regulatory disqualifying events and referrals across our entities, to ensure SEC, FINRA, and banking requirements.
Conduct regular social media reviews to monitor quality, compliance, and brand integrity.
Partner with a Senior Compliance Officer to support Testing and Monitoring efforts, organize data and documentation, and summarize conclusions or findings.
Serve as the point of contact for our ACA Compliance Management System, assist team members properly disclose and report Outside Business Activities, brokerage accounts, and private securities transactions.
Support regulatory exams and requests by gathering and preparing key data and documentation.
Manage and communicate annual compliance meetings, firm element training and regulatory continuing education requirements. Ensure team members complete assigned courses within the required due dates.
Identify opportunities to streamline or automate compliance processes, and help bring those improvements to fruition.
Take ownership of assigned processes and manage them proactively, as you grow in the role.
Collaborate with senior members of the Compliance and Legal teams, on additional projects and responsibilities.
Participate in regular/ongoing goal-setting, and performance check-ins with your manager.
Requirements
1+ years of experience with a financial services company
FINRA SIE preferred
Associate’s degree
Excellent communication skills (written and verbal)
Ability to evaluate risk and work with leadership to make impactful decisions
Solution-focused and risk-based approach to problem-solving
Detail-oriented ability to work with multiple priorities in a fast-paced environment
Comfortable working both independently and in a team environment and under tight deadlines
Thirst for delivering game-changing products
Exceptional drive and precision in delivery
A belief that your work is tied to your life's mission
Optimistic about the potential of societal change
Additional Instructions
Assist with supervisory documents (WSP, Compliance Manual, Code of Ethics and SOPs), ensure they are accurate, up-to-date, and aligned with regulatory standards.
Support the review of regulatory disqualifying events and referrals across our entities, to ensure SEC, FINRA, and banking requirements.
Conduct regular social media reviews to monitor quality, compliance, and brand integrity.
Partner with a Senior Compliance Officer to support Testing and Monitoring efforts, organize data and documentation, and summarize conclusions or findings.
Serve as the point of contact for our ACA Compliance Management System, assist team members properly disclose and report Outside Business Activities, brokerage accounts, and private securities transactions.
Support regulatory exams and requests by gathering and preparing key data and documentation.
Manage and communicate annual compliance meetings, firm element training and regulatory continuing education requirements. Ensure team members complete assigned courses within the required due dates.
Identify opportunities to streamline or automate compliance processes, and help bring those improvements to fruition.
Take ownership of assigned processes and manage them proactively, as you grow in the role.
Collaborate with senior members of the Compliance and Legal teams, on additional projects and responsibilities.
Participate in regular/ongoing goal-setting, and performance check-ins with your manager.
Perks and Benefits
Competitive salary and stock options
A comprehensive benefits package to meet the needs of you and your family
Flexible work hours, location, and paid time off
401k discretionary match
Monthly Acorns account contribution & GoHenry account for your family
Wellness Days - Company-wide quarterly days off to rest + recharge
Mindfulness, Mental Health, and Financial Wellness resources: Headspace, Ginger, and Addition Wealth are offered at no cost to you
Acorns Career Development Program (Monthly Acorns to Oaks training sessions, development plans, quarterly development check-ins, Cornerstone’s online training platform)
Roots Leadership Program for emerging leaders
Monthly community celebrations, events, panel discussions, and speakers
Talented and motivated team members who care deeply about one another, our mission, and our customers.
The rare opportunity to create a new world. We inspire one another every day to do meaningful work that solves big societal challenges.
