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Compliance Advisor

3 months ago

Chicago, Illinois, United States M1 Full time

Who we are
M1 helps clients build and protect their wealth, day to day and for the long term.

Our self-directed platform allows users to invest, borrow, spend and save in one place, using automation to power each user's unique personal strategy.

Hundreds of thousands of clients trust us with over $8 billion in assets.

As the Finance Super App, we empower clients' financial well-being through automated investing tools, industry-leading APY on high-yield savings accounts, paperwork-free margin loans, low-cost personal loans, and high cash back credit card rewards that can be automatically re-invested into your M1 portfolio.


Our vision is to create a digital private banking experience, making the tools and services of the ultra-wealthy accessible with the click of a button.

We've been named a top app for investors including 2023 Best for Low Costs and Best for Sophisticated Investors by Investopedia, 2023 Best Investment App for Portfolio Customization by Insider and one of the best Roth IRAs by Fortune.

We have over 60,000 five-star reviews on the Apple App Store and Google Play.


As a fast-growing fintech company, we're looking for talented and smart individuals who are excited about rethinking what's possible with personal finance, invested in their personal and professional growth, and eager to take ownership of their work.

Our award-winning workplace culture has been recognized by Inc.

(Best Workplaces 2022), Built In Chicago (2022 and 2023 Best Places to Work in Chicago), CB Insights (Top Fintech Companies of 2021), and the Chicago Tribune (2021 Top Workplace).

We mean it when we say, "M1 is yours to build."


M1 is a remote forward organization and at this time is only able to hire in the following states
:CO, FL, GA, IL, IN, MN, NJ, NY, PA, TX, UT, VA, OR, WA.


What You'll Do:

You will play critical role important to the future of M1. Reporting to our Head of Compliance, you will help business partners navigate the regulatory landscape.

Additionally you'll have the opportunity to collaborate with and influence people across the company to ensure M1 complies with all applicable laws and regulations.

This variety of work will support M1's business through contributions in all functions of compliance, including:

  • Be a primary resource across M1 product development and operations by providing advice and guidance on regulatory matters and new product opportunities.
  • Research and respond to regulatory complaints, inquiries, exams, and audits.
  • Communicate difficult concepts; convert information to compelling business context and advice; influence and gain alignment across increasingly senior stakeholders.
  • Review advertising and marketing materials as well as other electronic communications pursuant to FINRA and SEC Regulations, internal policies and procedures, and all other applicable guidelines.

Qualifications:

  • FINRA Series 7 and 24 required.
  • 35 years of compliance experience in financial services.
  • Experience reviewing Marketing material and retail communications.
  • Excellent verbal and written communication skills with the ability to articulate complex information in a clear and concise manner.
  • Strong interpersonal skills with an ability to partner, interact, collaborate, build trust, problem solve, and seek to influence staff from all levels of the organization.
  • Ability to work in a fastpaced environment and handle multiple tasks and deadlines with strong attention to detail.

Bonus Points:

  • SQL and Tableau skills.
  • Additional Financial Services experience including banking, loans, and credit cards.
  • Crypto compliance experience.
  • Fintech or Startup experience.

M1's Commitment to Diversity

Our Values


Our team embodies our ten core principles and if these principles speak to you - we'd love to talk with you.

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Mission Driven:

  • We know that financial wellbeing has a dramatic impact on an individual's quality of life. We are passionate about helping people in this domain.

-
Extreme Ownership
  • We are responsible for the results to our clients, teammates, and shareholders. We own everything in our domain that affects these results.

-
Boldness
  • Thinking small is a selffulfilling prophecy. Thinking big inspire results. We would rather fail at the meaningful than succeed at the trivial.
-
Ruthless Prioritization:

  • We want to do more than we possibly can. We must be disciplined on how to use our precious money, people, and time. That means saying no to a lot of good ideas so we can focus on the most important thing.

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Integrity
  • We do the right thing. This trust must never be broken.
-
Effectiveness:

  • We do what's needed to deliver the intended results. Whether that requires disciplined process or scrappy implementation, we find a way.
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Team Oriented:

  • We work collaboratively to achieve more. We respect, trust, and support one another.

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Transparency
  • We use simple and clear communication to share information