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Full-Time

Sr. Compliance Manager

Posted on 3/19/2024

Betterment

Betterment

201-500 employees

Automated investing and savings platform

Data & Analytics
Consulting
Fintech
Financial Services
Real Estate

Senior

New York, NY, USA

Category
Risk & Compliance
Legal & Compliance
Required Skills
Communications
Requirements
  • Compliance experience supporting and overseeing broker-dealer Capital Markets and/or Operations department activities
  • Thorough knowledge of FINRA and SEC rules and regulations governing broker-dealers, including best execution, trade reporting and trade allocation
  • Strong analytical and problem-solving skills
  • Ability to build effective relationships and develop strong partnerships across the business
  • A solutions-oriented mindset and organizational agility
  • Excellent writing and communication skills
  • Meticulous attention to detail
Responsibilities
  • Be a key partner to our Capital Markets Team and help ensure obligations regarding best execution, trade reporting, and trade allocation
  • Be a key partner to our Operations Team and help ensure obligations regarding proxies, corporate actions, account transfers, escheatment, custody, segregation of client assets, reserve requirements, and delivery of statements and trade confirmations
  • Execute second-line compliance oversight of capital markets and operations activities
  • Help the business improve processes, create efficiencies, and build new products
  • Develop monitoring and testing routings
  • Advise on topics including block trading, order routing, new products, services, and other initiatives
  • Create and deliver training courses relevant to areas of coverage
  • Ensure appropriate regulatory policies, procedures, and controls are established, maintained, and documented
  • Assist with annual reviews of the firm’s compliance program
  • Provide support on regulatory and annual compliance examinations

With a focus on democratizing investing through automated, expert-built portfolios and high-interest cash accounts, this company is an attractive place to work for those who value transparency and efficiency in financial solutions. Employees have the opportunity to contribute to cutting-edge financial tools that offer adjustable risk profiles and reward users for everyday spending, reflecting a commitment to both technological advancement and user-centric innovation in the financial industry.

Company Stage

Series F

Total Funding

$448M

Headquarters

New York City, New York

Founded

2010

Growth & Insights
Headcount

6 month growth

3%

1 year growth

7%

2 year growth

0%
INACTIVE