[Remote] Senior Associate, Broker Dealer Compliance
Note: The job is a remote job and is open to candidates in USA. Stash is hiring a Senior Associate, Broker Dealer Compliance to help ensure compliance with applicable federal laws and regulations. The role provides compliance guidance on customer disputes and inquiries, coordinates regulatory responses, tests policies and controls, and escalates systemic issues.
Responsibilities
- 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 Stash’s Customer Experience team or other internal stakeholders identify to senior management
Skills
- 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
- Compliance testing experience
- Experience working with Cursor/ChatGPT, Looker, SQL, or other analytical platforms
Benefits
- Equity
- Health care benefits
- Complimentary subscription to Stash+ account
- Hybrid work environment in NYC that prioritizes time together in the office while still allowing for work-from-home flexibility
- Flexible PTO
- Work-from-home equipment stipends
- Home internet subsidy
- Paid parental leave for birth-giving and non-birth-giving parents (Primary & Secondary)
- Enhanced health and wellness benefits through One Medical, Gympass, and Maven Health
Company Overview
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