Senior Associate, Broker Dealer Compliance

Stashinvest; New York (NY); Hybrid; USD 95,000 - 115,000; Full time

Benefits offered by this job

Health benefits

Hybrid work policy

Flexible PTO

Parental leave

Job summary

Stashinvest is seeking a Senior Associate, Broker Dealer Compliance in New York. The role reports to the Vice President of Broker-Dealer Compliance and collaborates with Legal, Customer Experience, Brokerage Operations, Product, Marketing, Engineering, and other stakeholders to meet regulatory expectations.

The position operates on a hybrid schedule, requiring on-site presence at least three days per week in New York.

Qualifications

• 1–3 years of relevant compliance experience in retail broker-dealer operations, retail investment adviser operations, or consumer banking.
• Familiarity with FINRA rules and the 1940 Investment Advisers Act is required.
• Ability to adapt to new information and craft customer-centric responses in ambiguity.
• Strong attention to detail and sound judgment in assessing regulatory risk.

Responsibilities

• Provide real-time compliance guidance to customer disputes and inquiries across Customer Experience and Operations.
• Coordinate responses to FINRA filings, regulatory exams, and inquiries related to customer complaints across Stash entities.
• Monitor and test policies and procedures to ensure end-to-end controls in trading, money movement, and internal controls.
• Identify systemic issues and elevate findings to senior management.

Skills

FINRA Series 7 license

Analytical skills

Attention to detail

Judgment

Tools

Looker

SQL

Cursor

ChatGPT

Job description

Stash exists to put a financial advisor in everyone's pocket: investing, banking, and personalized guidance in one app for everyday Americans to invest and save with confidence.

As a Senior Associate, Broker Dealer Compliance , you'll report to the Vice President of Broker-Dealer Compliance, and collaborate with functional areas across the company to ensure compliance with applicable federal laws and regulations. Through teamwork, commitment, and a bias toward action, Compliance functional stakeholders partner with Legal, Customer Experience, Brokerage Operations, Product, Marketing, Engineering and other constituent stakeholders to assist Stash in exceeding its ethical and regulatory expectations.

Stash's compliance function comprises 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.

This position operates on a hybrid schedule, requiring you to be on-site in our New York office at least three days per week to work with stakeholders and foster team collaboration.

What you'll 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 elevate systemic issues Stash's Customer Experience team or other internal stakeholders identify to senior management.

What we're looking for:

• Candidates should have an impressive record of achievement and at least one to three years of relevant work experience that includes compliance exposure to retail broker-dealer operations, retail investment adviser operations, or consumer banking.
• The position requires familiarity with relevant portions of key broker-dealer and investment advisor laws and regulations, such as FINRA rules and the 1940 Investment Advisers Act.
• The 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 are of particular importance.
• Active FINRA Series 7 license
• Gold Stars
• Compliance testing experience
• Experience working with Cursor/ChatGPT, Looker, SQL, or other analytical platforms

Our Commitment to Diversity, Equity, and Inclusion

We proudly celebrate the unique qualities that make you you, 365 days a year, and not just because it's the right thing to do or good for business. We embed the principles and practices of diversity, equity, and inclusion (DEI) into all that we do to prioritize people, a Stash core value , and to ensure Stashers of all backgrounds and experiences can be their authentic selves.

We are also proud to be the first and only venture-backed fintech to join the CEO Action for Diversity & Inclusion , and as an Equal Opportunity Employer, Stash is committed to building an inclusive environment for people of all backgrounds.

If you require any reasonable accommodations to make your application process more accessible, please reach out to [e-mail].

Helping You Invest in Yourself

• Comprehensive total rewards package, comprising compensation (salary and equity) and health care benefits
• Complimentary subscription to Stash+ account
• Hybrid Work Policy - We operate a hybrid work environment in NYC that prioritizes time together in the office to strengthen teamwork, innovation, and culture, while still allowing for work-from-home flexibility.
• 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

External Recognition for Stash

• Benzinga's 2023 Best Brokerage for Beginners and Best Robo-Advisor Awards
• Qorus-Accenture's 2023 Banking Innovation Awards
• USA Today and Statista's 2023 Top 500 Best Financial Advisory Firms
• Comparably's Best Company Awards: Best Places to Work, Best Company Outlook, and Best Engineering Team for Diversity, Women, Culture, and more! (2023)
• Fintech Breakthrough Award: Best Personal Finance App (2023)
• BuiltIn's Best Places to Work (2022, 2021, 2020, 2019)
• Forbes Fintech 50 (2021, 2020, 2019)
• Best Digital Bank, Finovate Awards (2020)
• Tearsheet Challenge Awards, Best Banking Card Product - Stock-Back Card, 2020
• LendIt Fintech Innovator of the Year (2020, 2019)

Salary Range: $95,000 - $115,000

The base salary range represents