Senior Associate, Broker Dealer Compliance

The role

You will report to the Vice President of Broker-Dealer Compliance and collaborate with functional areas to ensure compliance with federal laws and regulations. You will provide guidance on customer disputes, coordinate regulatory responses, and monitor policies and procedures.

What you will do

• Collaborate cross functionally with Customer Experience and Operational teams to provide real-time compliance guidance to unique customer disputes and inquiries.
• Coordinate responses to FINRA regulatory filings, regulatory exams, and inquiries as they related to customer complaints across all Stash entities.
• Monitor and test Stash Capital’s policies and procedures to ensure effective end to end controls in such areas as trading, money movement, and internal controls.
• Act as the eyes and ears of compliance to identify and escalate systemic issues to senior management.

Required qualifications

• One to three years of relevant work experience that includes compliance exposure to retail broker-dealer operations, retail investment adviser operations, or consumer banking.
• Familiarity with relevant portions of key broker-dealer and investment advisor laws and regulations, such as FINRA rules and the 1940 Investment Advisers Act.
• Ability to be open to change in response to new information and craft customer-centric responses in ambiguous situations.
• Exemplary attention to detail, exceptional analytical skills, and strong judgment skills.
• Analyzing and editing skills.
• Active FINRA Series 7 license

Nice to have

• Compliance testing experience
• Experience working with Cursor/ChatGPT, Looker, SQL, or other analytical platforms

Benefits

• Compensation (salary and equity)
• Health care benefits
• Complimentary subscription to Stash+ account
• Flexible PTO
• Work-from-home equipment stipends
• Home internet subsidy
• Paid Parental Leave (offerings for birth giving and non-birth giving parents) Primary & Secondary
• Enhanced health and wellness benefits through One Medical, Gympass, and Maven Health

About the company

Stash exists to put a financial advisor in everyone's pocket through an app for investing, banking, and personalized guidance. It is a venture-backed fintech.