Senior Compliance Associate, Betterment
$105-120k
More information about location
3 days a week in office
Banking and investment app
Be an early applicant
Banking and investment app
501-1000 employees
Be an early applicant
$105-120k
More information about location
3 days a week in office
501-1000 employees
Company mission
To make people’s lives better.
Role
Who you are
- You are eager to join a dynamic team to gain exposure to and help build out the compliance function at an innovative registered investment adviser and broker-dealer
- You thrive in an environment with efficient organization, tracking, and project management
- You have strong communication and collaboration skills, attention to detail and accuracy, a desire to iterate and build because you refuse to do things just “because that’s the way they have always been done”
- You won’t accept less than a well oiled machine
- You are ready to roll up your sleeves and get to work in the most exciting work environment there is!
- Contributor with 3 years of experience in role, highly proficient in subject area. Able to mentor and train others
- A love for organization, a meticulous attention to detail and process
- Excellent communication skills
- A desire to work in a fast paced environment
- Ability to work well across various business units and develop strong partnerships
- Want to learn and have an impact quickly
What the job involves
- Learn about SEC and FINRA regulations and apply that knowledge to help grow the business and support and enhance a rapidly expanding compliance program
- Develop ownership of the day-to-day review and approval process of the firm’s marketing materials
- Ensure that all marketing and communications comply with applicable regulatory guidelines
- Provide guidance and training
- Assist with updates to and implementation of policies and procedures
- Create internal controls through the development and execution of testing and monitoring routines
- Support the Compliance team on execution of day-to-day tasks ranging from regulatory exam support, and annual reviews, to ownership of specific compliance projects
- And so much more!
Application process
- We’ll take a few weeks to review all applications. If we’d like to spend more time with you, we’ll reach out to arrange next steps, which will include 3-4 sets of meetings with your future colleagues
- In the interview process, we’ll look to learn more about your skills, experiences, capabilities, and motivators. Many of our questions will be aimed at understanding how you might operate here at Betterment
- Depending on the role, we may ask you to complete a case study exercise or technical assessments, as we want to collect a robust set of data points to better inform our decisions
- On average, it takes us around 3-5 weeks to make a hiring decision, depending on your availability and sense of urgency. As a best practice, we aim to interview at least 2-3 final round candidates before making a hiring decision
- Please note that, as we usually receive an overwhelming number of applications for open positions, we’re unable to offer individual feedback during the interview process
Our take
Betterment is an app-based investment platform that provides personal finance data and guidance to retail users through a range of real-world data and AI analytics to deliver investment advice to customers.
The company has become the largest independent digital investment advisor in the U.S. Having expanded its 401k business, Betterment has entered the world of Crypto, partnering with Gemini to offer customized crypto portfolios and its "Crypto Investing by Betterment" platform.
Betterment has a wealth of competition in this increasingly crowded space. Other robo advisors offering similar services include Moneyfarm, Wealth Simple, M1 Finance and Personal Capital. Going forward, Betterment hopes to further distance itself from rivals as it further innovates its platform.
Freddie
Company Specialist
Insights
Few candidates hear
back within 2 weeks
-6% employee growth in 12 months
Company
Funding (last 2 of 7 rounds)
Sep 2021
$60m
SERIES F
Jul 2017
$70m
SERIES E
Total funding: $335m
Company benefits
- Health and wellness: Get comprehensive medical, dental, and vision, plus a free subscription to One Medical.©
- Generous time off: We encourage you to take time off (seriously) and get the rest you need to do your best work.
- Paid parental leave: We welcome new additions to your family with 12-18 weeks of parental leave.
- Matching benefits: We offer a 401(k) match and a match on qualified student loan payments
- Equity: Gain stake in Betterment’s success with company equity grants.
- Free food: Snacks, beverages, and catered lunches at our NYC HQ
- Long-term health resources: We provide LGBTQIA+ transition and fertility support.
- Find your community: Make connections through seven employee affinity groups and a social calendar of hybrid events.
Company values
- Pursue happiness
- Start with the customer
- Build relationships beyond the task
- Own it and lead it
- Iterate to breakthrough
- Embrace efficiency
- Create enduring quality
Company HQ
Flatiron District, New York, NY
Articles
Leadership
Jonathan Stein
(Board Member)After studying Economics at Harvard, Jonathan worked as a Consultant at First Manhattan Consulting Group for over 4 years. He founded Betterment in 2007, serving as CEO until 2020 when he stepped down to Chairman of the Board.
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