Compliance Manager

1 month ago


New York, New York, United States Betterment Full time

About the Role

We are seeking a highly skilled Compliance Manager to join our team at Betterment. As a key member of our compliance team, you will be responsible for managing and overseeing key processes to ensure compliance with marketing requirements (RIA and BD) and supporting our customer service (CX) teams.

You will have significant experience with SEC and FINRA marketing rules and expertise in rules related to testimonials, endorsements, and social media. You will thrive in a fast-paced environment, prioritize tasks, and have an eye towards creating efficiencies.

This role is based out of our NYC office and offers a competitive salary range of $130,000 - $153,000, as well as a comprehensive benefits package and opportunities for professional development.

A Day in the Life

  • Manage and oversee key elements of our Compliance Marketing program to ensure compliance with SEC Rule 206(4)-1, FINRA Rule 2210, and other applicable regulations
  • Create efficiencies and streamline our marketing review process and oversight using technology
  • Lead and optimize the compliance program for our Customer Support and Investment Adviser Representative teams
  • Develop training and education
  • Manage and oversee the implementation of and updates to policies and procedures
  • Conduct monitoring and testing

What We're Looking For

  • Expertise in SEC Rule 206(4)-1, including those related to testimonials/endorsements and social media
  • Experience with building marketing compliance programs, and familiarity with Red Oak is a plus
  • Strong organizational skills with an ability to set and achieve deadlines in a fast-paced environment
  • Proactively takes initiative without requiring direction
  • A meticulous attention to detail
  • Excellent communication skills
  • Ability to work well across various business units
  • Strong intellectual curiosity
  • Series 24 preferred

What Being at Betterment Means for You

We change lives by making people's financial outcomes better. Our team is passionate about creating a supportive and inclusive community that values all perspectives. We offer a competitive suite of benefits, including medical, dental, and vision insurance, life and AD&D insurance, STD and LTD benefits, and generous parental leave. We also offer flexible paid time off, meaningful opportunities for community building, and dedicated professional development opportunities.


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