Senior Associate, Broker Dealer Compliance
stashJersey City (NJ)
Senior Associate, Broker Dealer Compliance
Posted 2 days ago
stashJersey City (NJ)
SENIORITY
Senior
About the role
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.
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 escalate 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
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