At The company, we're dedicated to helping individuals build and safeguard their wealth, both for their everyday needs and long-term goals. Through our innovative self-directed platform, users can seamlessly invest, borrow, spend, and save in one convenient place, leveraging automation to tailor strategies to their unique financial objectives. With the trust of hundreds of thousands of clients and over $8 billion in assets under management, we pride ourselves on being the Finance Super App™, offering tools that empower our clients' financial well-being. From automated investing tools to high-yield savings accounts with industry-leading APY, hassle-free margin loans, low-cost personal loans, and rewarding cash back credit card benefits that can be reinvested into your The company portfolio, we're committed to making sophisticated financial services accessible with just a click.
Recognized as a top app for investors and consistently praised by reputable sources like Investopedia, Insider, and Fortune, as well as backed by over 60,000 five-star reviews on the Apple App Store and Google Play, we're setting new standards in personal finance.
As a rapidly expanding fintech company, we're on the lookout for talented and driven individuals who are passionate about reshaping the landscape of personal finance. We value individuals committed to their personal and professional growth, eager to embrace ownership of their work. Our award-winning workplace culture has garnered recognition from esteemed publications like Inc., Built In Chicago, CB Insights, and the Chicago Tribune.
When we say "The company is yours to build," we mean it.
The company is a remote-friendly organization and currently only able to hire in the following states: CO, FL, GA, IL, IN, MN, NJ, NY, PA, TX, UT, VA, OR, WA.
Your Role
As an integral part of The company's future, you'll report to our Head of Compliance, playing a pivotal role in guiding our business partners through the regulatory landscape. Your responsibilities will span across various functions of compliance, collaborating with and influencing colleagues company-wide to ensure The company adheres to all applicable laws and regulations. Key aspects of your role include:
Serving as a primary resource for The company's product development and operations, offering guidance on regulatory matters and identifying new product opportunities.
Conducting research and responding to regulatory complaints, inquiries, exams, and audits.
Effectively communicating complex concepts, translating information into actionable business insights, and gaining alignment across diverse stakeholders.
Reviewing advertising, marketing materials, and other electronic communications in accordance with FINRA and SEC regulations, internal policies, and industry guidelines.
Qualifications
Required: FINRA Series 7 and 24 certifications.
5-8 years of compliance experience within the financial services sector.
Experience in reviewing marketing materials and retail communications.
Exceptional verbal and written communication skills, with the ability to convey complex information clearly and concisely.
Strong interpersonal skills, enabling effective collaboration, trust-building, problem-solving, and influence across all levels of the organization.
Ability to thrive in a fast-paced environment, managing multiple tasks and deadlines with meticulous attention to detail.
Bonus Points
Proficiency in SQL and Tableau.
Additional experience in financial services, including banking, loans, and credit cards.
Knowledge of crypto compliance.
Previous experience in fintech or startup environments.
The Company's Commitment To Diversity
The company is proud to foster an inclusive workplace where diverse perspectives are valued and celebrated. We're dedicated to diversity, equity, inclusion, and belonging (DEIB) at every level of our organization. Women, minorities, veterans, members of the LGBTQIA+ community, and individuals with disabilities are strongly encouraged to apply.
Our Values
At The company, we live by our core principles, and if these resonate with you, we'd love to hear from you:
Mission Driven: We're passionate about enhancing individuals' financial well-being and recognize its profound impact on quality of life.
Extreme Ownership: We take full responsibility for our actions and results, owning everything within our domain that affects our clients, teammates, and shareholders.
Boldness: We dare to think big and aim for meaningful results, refusing to settle for mediocrity.
Ruthless Prioritization: We focus on what truly matters, saying no to good ideas to concentrate on the most important tasks.
Integrity: We uphold the highest ethical standards, ensuring trust is never compromised.
Effectiveness: We do whatever it takes to achieve our goals, whether through disciplined processes or innovative solutions.
Team Orientation: We collaborate and support one another, recognizing that we achieve more together.
Transparency: We communicate openly and clearly, providing the context needed for informed decision-making.
Make Forward Progress: We believe in continuous improvement, taking incremental steps towards perfection.
Resiliency: We embrace ambiguity, change, and setbacks, adapting and persevering towards our goals.
Our Perks
Competitive Pay and Stock Options
Comprehensive Health, Dental, Vision, Disability, and Life Insurance
Retirement Benefits with Employer Match
Unlimited Paid Time Off
Office in the Loop with Game Room and Gym Facilities
Access to Employee Workshops and Training on Financial Literacy, Empathy and Mental Health, Professional Development, and More
Free Subscription to Insight Timer, the World's #1 Meditation App for Sleep, Stress, and Anxiety
Employment Type: Full-Time
Seniority level
Mid-Senior level
Employment type
Full-time
Job function
Finance and Sales
Industries
Human Resources Services
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