Regulatory – Product and Marketing Compliance
| Company | Acorns |
|---|---|
| Location | Irvine, CA, USA, New York, NY, USA |
| Salary | $160000 – $200000 |
| Type | Full-Time |
| Degrees | Bachelor’s |
| Experience Level | Senior, Expert or higher |
Requirements
- FINRA Series 7 and 24 are required. Series 65 or 66 license or willing to obtain it within the first 90 days
- 7+ years of regulatory compliance experience with a Fintech, SEC Registered Investment Adviser or a Broker Dealer. Strong financial services knowledge, including securities laws, rules and regulations
- 4+ years of people management experience with excellent leadership skills
- Bachelor’s or advanced degree in a related field
- Extensive experience working with SEC and FINRA rules, specifically FINRA Rule 2210 and the SEC Marketing Rule
- Demonstrated ability to translate regulatory requirements into product and technical specifications
- Strong understanding of user experience design principles as they relate to regulatory disclosures and customer interactions
- Detail-oriented and able to work on multiple priorities, in a fast-paced environment
- Accomplished communicator, exceptional drive and precision in delivery
- Ability to align company vision and organizational goals with team execution
Responsibilities
- Assist CCO with examinations, inquiries, and requests from regulators and relevant authorities. Serve as a subject matter expert to internal stakeholders. Proactively identify, prioritize, and mitigate regulatory risks
- Support and provide guidance to Product teams, on a full range of issues related to customer-centric product development. Perform pre-launch and ongoing product compliance support and regulatory analysis
- Manage and oversee the day-to-day advertising, marketing, social media and public communications reviews. Partner with the content teams to address customer needs and deliver the appropriate solutions
- Collaborate regularly with key business partners, including Legal, Marketing, Product, Invest Operations and beyond, to support compliance initiatives
- Lead a small team of direct reports. Provide guidance, mentorship, and performance feedback, to drive personal growth and ensure the success of the compliance program
- Plan and execute strategic goals and objectives aligned with the firm’s mission statement
- Drive key strategic compliance initiatives and support long-term organizational goals
- Serve as a role model by embodying and promoting the firm’s cultural principles
Preferred Qualifications
- Experience in financial services and related products a plus
- Hunger to deliver game-changing products
- Thirst for delivering game-changing products, ability to assess issues and proactively determine creative solutions
- Demonstrated experience effectively communicating, motivating, supporting, and developing team members to meet performance expectations, and building careers
- Optimistic about the potential of societal change