Sr. Compliance Officer

At Acorns we look after the financial best interest of the up-and-coming.  We are innovators. We make bold decisions. We stay curious, inspiring one another to push past all previous thresholds of possibility.  We are one team and are building a diverse community of team members, partners, and customers from all walks of life to foster creativity, challenge conventional thinking, and put the tools of wealth-making in everyone’s hands. 

We are looking for missionaries who are rooted in purpose, to join our team. We can achieve our goals if we are a team of missionaries working toward a shared purpose and mission. 

Our mission? With benevolence and courage, we look after the financial best interests of the up-and-coming; beginning with the empowering, proud step of micro-investing.

How do we accomplish our mission? Our values. 

Lead With Heart 

With compassion, integrity, and tenacity, inspire yourself and others to move past all previous thresholds of possibility

Make Bold Decisions

We are creating a new world. Be optimistic, adventurous, and courageous. Leap fearlessly into the future

Always Build Trust

Say what you mean, mean what you say, and do what you say you’re going to do. We are all owners. We are one team

Never Stop Growing

Change IS the constant. Stay hungry and curious. Be relentless in the pursuit of progress

Find a way

Never settle, no excuses, nothing is impossible. Just make it happen

Our values guide us, and our mission drives us. 

Come join us and help deliver financial wellness for the whole family, creating compound growth at every life stage.

 

 

Senior Compliance Officer | Acorns

Acorns is seeking a Senior Compliance Officer to join our team.  You must have the ability to evaluate risk and make decisions while meeting deadlines in a fast-paced environment.

The ideal candidate for this role should have a Bachelor’s degree, 7+ years experience with a Financial Services company, and active FINRA Series 7, 24, 63, and 65 (or 66) licenses. The candidate should also have a strong understanding of financial regulations while demonstrating the ability to work well with all levels of the organization. We’re looking for someone who is passionate about compliance and has the commitment to help us meet our goals.

With limited supervision, this role handles routine to moderately complex issues and combines analysis, wisdom, and experience to arrive at sound conclusions and make thorough recommendations and actionable plans to improve compliance processes. 

This role has the option to be remote or based in our Irvine, CA, or New York, NY offices.

Key Responsibilities:

• Draft and implement internal policies and procedures
• Participate in the Compliance Department’s testing of supervisory controls, 3120 and 206 Testing Projects
• Assist with reports summarizing the results of testing, including metrics and key benchmarks
• Review marketing materials and communications for the business, to ensure consistency with regulatory guidelines and internal policies 
• Assist with reviewing and documenting Customer Complaints
• Develop and implement training programs for employees on compliance issues
• Investigate potential compliance issues and recommend solutions
• Assist with regulatory inquiries and examinations
• Work with all levels of the organization to ensure compliance
• Maintain current knowledge of regulatory changes  

Within 1 month, you will:

• Become well-versed in the firm’s culture and product offerings and organizational structure by meeting with key partners and reviewing key documentation.
• Complete Acorns’ best-in-class onboarding, Acorns’ Seedling Program
• Participate in a virtual coffee session hosted by Acorns’ CEO, Noah Kerner
• Attend your first community-wide virtual all-hands meeting

Within 3 months, you will:

• Start planning strategic goals and objectives consistent with and in furtherance of the firm’s mission statement
• Review your 30-60-90 day goals and accomplishments with your manager
• Engage in Acorn’s Community & Heritage celebrations
• Receive operational updates from our GoHenry & PixPay team members during Acorns’ quarterly global virtual all-hands session

Within 6 months, you will:

• Be fully integrated into the compliance programOversee key strategic initiativesProvide subject matter expertise to key business partnersProactively work to identify and mitigate regulatory, legal, and reputationa