Stash is pioneering the future of personal finance with the first financial subscription that helps people invest and build wealth. From saving for retirement to budgeting, Stash unites banking, investing, and advice all in one app that has helped more than 5M people reach their financial goals and make progress towards financial freedom.
As a Compliance Senior Associate/Manager, youll report to our Head of Business Line Compliance, and collaborate with functional areas across the company to ensure compliance with applicable federal consumer laws and regulations. Through teamwork, commitment, and a bias toward action, Business Line Compliance functional stakeholders partner with Product, Marketing, and other constituent stakeholders to assist Stash in exceeding its ethical and regulatory expectations.
Stashs compliance function is comprised of a diverse array of academic and professional backgrounds, and we encourage each of our team members to strive for world-class performance. Compliance selects for candidates who possess high degrees of open-mindedness, conscientiousness, and equanimity.
What you'll do:
- Review and approve Marketing content for compliance with securities laws, rules, and regulations and with the firms ethical and reputational expectations (this also includes advertising related to Social Media content)
- Provide up-to-date advice on regulatory compliance requirements with respect to the development and maintenance of the firms advertising, and provide full lifecycle support of cross-functional guidance on applicable consumer financial protection and securities laws, rules, and regulations
- Coordinate with Product, Marketing, Legal, Engineering, Operations, and Revenue stakeholders to assist with new business initiatives and regulatory requirements
- Assist in the implementation and development of the Business Line Compliance Training Program
What we're looking for:
- 3-4 years of experience at either a broker-dealer, investment advisory firm, fintech startup, or bank, or, alternatively, as a regulatory compliance professional outside of the financial services industry
- Bachelors Degree in a hard science, engineering discipline, or a quantitative field
- Highly-developed interpersonal skills and an aptitude for building strong relationships through the use of engaging, courteous, and persuasive communication styles
- Exceptional verbal and written communication skills and an aptitude for thinking clearly about complex issues under conditions of ambiguity, uncertainty, and high pressure
- Exemplary attention to detail, exceptional analytical skills, and strong judgement skills
- Ability to multitask and prioritize in a fast moving, high pressure environment
- Familiarity with Social Media Platforms (Twitter, Facebook, Reddit, Instagram, Linkedin)
- Excellent understanding of digital banking channels, including mobile and other web-based technologies
- Experience with product management and/or agile technology development, especially with respect to venture-backed entities
- Familiarity with concepts, tools, and solutions used by product management and software development teams such as application development protocols, cloud-based solutions, and UX/UI design/development process
- Project management experience
- Juris Doctor
We believe that diversity and inclusion are essential to living our values, promoting innovation, and building the best products out there. Our success is directly related to the employees that we hire, grow and retain and we believe that our team should reflect the diversity of the customers that we serve.
As an Equal Opportunity Employer, Stash is committed to building an inclusive environment for people of all backgrounds. We do not discriminate on the basis of race, color, gender, sexual orientation, gender identity or expression, religion, disability, national origin, protected veteran status, age, or any other status protected by law. Everyone is encouraged to apply.
Benefits & Perks:
- Equity in Stash
- Flexible Vacation
- Flexible Remote
- Family-Friendly Medical, Dental, and Vision Insurance Plans
- Learning & Development & Ergonomic Work Space Stipends
- Commuter Benefits and Flexible Spending Account (FSA)
- Employee referral bonuses
- Team outings that do not involve trust falls...
Awards & Recognition:
- Forbes Fintech 50 (2019 & 2020)
- Best Digital Bank, Finovate Awards (2020)
- Tearsheet Challenge Awards, Best Banking Card Product - Stock-Back Card, 2020
- LendIt Fintech Innovator of the Year (2019 & 2020)
- Built in NYC's Best Places to work (2019)
- MarCom Awards Double Gold & Platinum Winner (2018)
- Webby Award Winner for Best Mobile Sites & Apps in the Financial Services and Banking category (2017)
- W3 Awards Winner for Best User Experience (2017)
**No recruiters, please.