Broker-Dealer Compliance Manager
Stash is a digital-first financial services company committed to making saving and investing accessible to everyone. By breaking down barriers and building transparent, technology-driven products, we help the 99% build smarter financial habits so they can confidently save more, grow wealth, and enjoy life.
We are seeking a Broker-Dealer Compliance Associate to become part of a small, highly skilled team responsible for managing regulatory risk. In this role, you'll report to The Director of Broker-Dealer Compliance and be afforded the opportunity for broad exposure to our product, finance, engineering, trading, and operations stakeholders. If you're a team player with an understanding of broker-dealer regulatory framework -- Stash is looking for you!
What you’ll do:
- Support the day-to-day compliance activities of our Director of Broker-Dealer Compliance and the Director of AML Compliance
- Assist in the preparation of regulatory filings (e.g., Form BD, U4, U5), and responding to regulatory inquiries - including the preparation of responses to regulatory affairs and examinations
- Maintenance of written policies and procedures including business continuity plan and continuing education plans
- Identify potential areas of compliance vulnerabilities and risks for the firm’s 3120/30 annual report and draft the report
- Maintain materials for the annual compliance meeting and deliver firm-wide training
What we're looking for:
- An impressive record of achievement and at least 2 years of relevant work experience that includes compliance exposure to broker-dealer operations and/or AML matters
- Familiarity with relevant portions of key broker-dealer laws and regulations, such as the Securities Exchange Act and FINRA regulations, as well as the desire to expand working knowledge of consumer compliance regulations applicable to financial services
- Exemplary attention to detail, exceptional analytical skills, and strong judgment skills; analyzing and editing skills are of particular importance
- Series 7
- Experience with SEC and FINRA compliance regulations
- Series 63, 24
We believe that diversity and inclusion are essential to living our values, promoting innovation, and building the best products out there. Our success is directly related to the employees that we hire, grow and retain and we believe that our team should reflect the diversity of the customers that we serve.
As an Equal Opportunity Employer, Stash is committed to building an inclusive environment for people of all backgrounds. We do not discriminate on the basis of race, color, gender, sexual orientation, gender identity or expression, religion, disability, national origin, protected veteran status, age, or any other status protected by law. Everyone is encouraged to apply.
Benefits, Perks, & More!:
* Equity In Stash * Flexible Vacation
* Four Family-Friendly Medical Plans * Two Dental & One Vision Insurance Plan
* 401k * Learning & Development Stipend
* Commuter Benefits * Flexible Spending Account (FSA)
* Employee Referral Bonuses * Stocked Fridges & Kitchens
* Thursday Happy Hours * Catered Lunch on Fridays
* Team outings that do not involve trust falls...
Awards & Recognition:
- Built in NYC's Best Places to work in 2019
- Built in NYC’s Startups to Watch in 2018
- Wall Street Journal's "Top 25 Tech Companies To Watch" in 2018
- MarCom Awards 2018 Double Gold & Platinum Winner
- 2017 Webby Award Winner for Best Mobile Sites & Apps in the Financial Services and Banking category
- 2017 W3 Awards Winner for Best User Experience
**No recruiters, please