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Senior Compliance Associate

Wealthfront

Wealthfront

Legal
Palo Alto, CA, USA · Remote
Posted on Tuesday, June 11, 2024
Wealthfront is seeking a talented, passionate, and experienced compliance professional to join our Compliance Operations Team. This individual will work closely with other members of the Legal and Compliance department and collaborate with all other departments including the Communications, Marketing, Product, Design, Engineering, Broker-Dealer Operations, Product Support, and People Operations teams.

Responsibilities

  • Marketing & Communications: Assist with content development and creation to align with firm initiatives related to products and services. Provide guidance related to marketing rules and regulations to ensure content compliance. Ability to support technology related builds and improvements for marketing and communications content. Articulate clear, compelling value propositions through subject matter expertise and innovate how content is developed and delivered to increase client engagement.
  • Compliance Advisory: Provides content creators with actionable guidance and advice to effect compliance with regulatory and Wealthfront standards by reviewing all Wealthfront communications including all owned and paid media, web and mobile apps, social media, promotional and transactional emails, product workflows, blogs, FAQs, podcasts, presentations, and videos.
  • Education, Training, and Promoting a Culture of Compliance: Develop, enhance, and deliver compliance ­related training to all Wealthfront employees, including training specific to rules, regulations, standards, and resources, such as required Annual Compliance Meeting, FINRA Firm Element, and continuing education.
  • Compliance Administration (including Registration, Licensing and Onboarding): Provide compliance support in the onboarding process of new employees, as well as ongoing support of regulatorily­ required disclosure of personal securities accounts and transactions, outside business activities, political contributions, and others.
  • Complaint Escalation and Response: Lead the cross-functional working group responsible for organizing, analyzing, and, when necessary, responding to written customer complaints.
  • General Compliance Advisory: Provide business partners with actionable guidance and advice to support compliance with regulatory and Wealthfront standards in support of developing products, services, features, and strategic initiatives, with a strong focus on client service and operations.
  • Assist with maintaining the Legal & Compliance Regulatory Calendar and coordinating, updating and filing broker­ dealer and investment adviser registrations, disclosures and reports (such as Form ADV, Form BD, Forms U4 and U5, Form 13F), and other related requirements.
  • Audit and Regulatory Examinations: Provide general support to Compliance, Legal, Operations, Finance, and all other departments in preparing for and executing responses to routine audits and examinations.
  • Policies and Procedures: Assist with formulating, implementing and updating broker-dealer and investment adviser compliance programs and initiatives.
  • Culture of Compliance: Actively work with Wealthfront’s business partners to help identify areas of potential risk or non­compliance, and in collaboration with the General Counsel and Chief Compliance Officer, manage the documentation and resolution process.

Expertise and Attributes

  • Approaches work as an owner. Identifies opportunities and challenges and takes action without waiting for instructions. Takes full responsibility for tasks and outcomes, owning both successes and failures. Inspires the confidence of partners, stakeholders, and teammates by committing and delivering.
  • Strong working knowledge of FINRA, MSRB, and SEC rules applicable to communications with the public, including general content standards and record-keeping requirements. Understands partners’ commercial and strategic direction, and exercises sound, well-supported judgment when crafting paths forward. Broad analytical skills, with experience identifying and quantifying problems while providing creative, effective solutions.
  • Strong technical writing background with a firm understanding of content creation as it relates to in app content, marketing content, social media content, and disclosure content.
  • Contributes to the development and execution of marketing campaigns - and when appropriate, apply an industry lens (i.e., customize the messaging or channel tactics for a specific target audience).
  • Demonstrated ability to communicate effectively and influence positive outcomes at multiple levels of an organization.
  • Customer-focused, business-centric, and team-oriented mindset; relentlessly passionate about finding and completing valuable work.
  • Excellent organizational skills and ability to set and meet deadlines in a high paced environment.
  • Intellectually curious and interested in applying technology to enhance business processes.
  • Product experience including mutual funds, money market funds, ETFs, margin products and 529 plans.
  • Experience with or general understanding of broader financial services including investment advisory, planning, banking, and insurance is a plus.

Requirements

  • BA/BS degree.
  • 4+ years of relevant experience.
  • FINRA Series 7
  • FINRA Series 24 preferred (or ability to obtain in 90 days)
  • Willingness to obtain other registrations and/or licenses as necessary.
Estimated annual salary range: $133,000 - $165,000 USD plus equity and discretionary bonus.
Benefits include medical, vision, dental, 401K plan, generous time off, parental leave, wellness reimbursements, professional development, employee investing discount, and more!