Senior Compliance Associate

Palo Alto, CA (Open to US-based Remote) /
Legal and Compliance /
Full-time
The traditional financial industry was not built to put the interests of clients first. At Wealthfront, we’re committed to building products and services that are designed to earn you more and make it easy to bank, invest, and plan for your future. And we don’t want to stop there – our vision is to optimize your money across spending, savings, and investments, putting it all to work effortlessly. Deposit your paycheck with Wealthfront and, with the click of a button, you can have us automate the rest. Our software can top off your emergency fund, pay all your bills, and even invest the rest to help meet your goals. We call this future Self-Driving Money™.

Wealthfront is seeking a talented, passionate, and experienced compliance professional to support the Compliance Team for the broker dealer and investment adviser entities. This individual will work closely with other members of the Legal, Risk and Compliance division and collaborate with all other departments including the communications, marketing, product, design, and engineering teams.

Responsibilities:

    • Compliance Advisory: Provides content creators with actionable guidance and advice to maintain compliance with regulatory and Wealthfront standards by reviewing all Wealthfront communications including but not limited to: paid advertising, web and mobile apps, social media, promotional and transactional emails, product workflows, blogs, FAQs, podcasts, presentations, and videos 
    • Policies and Procedures: Primarily responsible for regularly reviewing, enhancing, and executing on all communications, compliance-related policies and procedures, as well as assisting with broader Compliance testing and monitoring 
    • Education, Training, and Promoting a Culture of Compliance: Develop, enhance, and deliver training to teams responsible for creating and delivering content, including business unit principals, content creators, internal and external stakeholders, and other compliance associates on communications compliance rules, standards, and resources 
    • Compliance Supervision, Testing, and Monitoring: Designated principal review and approval of Wealthfront Brokerage communications with the public, including product marketing, client forms and communications, and content related to services provided by the broker-dealer 
    • Audit and Regulatory Examinations: Owns records, reports, and artifacts related to the communications compliance program as well as related responses as part of investigations, audits, and/or examinations by internal partners or external parties. Provides general support to Compliance, Legal, Operations, Finance, and all other departments preparing for and executing responses 
    • Collaborates early and often with business, Legal, and Compliance teams, providing specific guidance during all phases of the product development process

Expertise:

    • Customer-focused, business-centric and team-oriented mindset 
    • Demonstrated ability to communicate effectively and influence positive outcomes at all levels of an organization
    • Excellent organizational skills, able to set and meet deadlines in a high paced environment 
    • Strong working knowledge of FINRA, MSRB, and SEC rules applicable to communications with the public, including general content standards and record-keeping requirements
    • Intellectually curious, and interested in applying technology to enhance business processes
    • Broad analytical skills, with experience identifying and quantifying problems while providing creative, effective solutions
    • Product experience including mutual funds, money market funds, ETFs, margin products and 529 plans, preferred
    • Experience with or general understanding of broader financial services including investment advisory, planning, banking, and insurance, a plus

Requirements:

    • BA/BS degree
    • 5-10 years of professional experience, including direct experience as a compliance professional at a broker-dealer or investment advisory firm
    • FINRA Series 7 and 24; willingness to obtain other registrations and/or licenses as necessary
Everyone across the financial spectrum deserves to live secure and rewarding lives. In order to successfully serve clients across the United States, the Wealthfront team is focused on hiring team members with a diverse range of backgrounds, experiences and perspectives. We are an equal opportunity employer and value diversity at our company. We do not discriminate on the basis of race, religion, color, national origin, gender, sexual orientation, age, marital status, veteran status, or disability status.


About Wealthfront

Wealthfront is a nextgen banking and investing service. We offer high-interest checking with our Cash Account, help you build your net worth with automated investing, automate your savings strategy with our service Autopilot, and give you a single view of your finances with our intuitive mobile app.

Our ultimate vision is to optimize and automate all of our clients’ finances and build what we call Self-Driving Money™️. We want clients to be able to automatically deposit their paycheck into their Wealthfront account, and let us take care of the rest — paying their bills, topping off their emergency fund or 401(k), and investing the rest based on their specific goals and lifestyle. To get there, we’ll be focusing the bulk of our efforts on creating a better alternative to what the banking industry provides. Join us so you can help us turn this industry on its head and build a service that our clients don't just like, they love.