Sr. Compliance Associate

About Betterment

Betterment is a leading, technology-driven financial services company that offers investing and retirement solutions for retail investors and investment advisors as well as financial wellness solutions, including a 401(k) for small and medium-sized businesses. Our team is passionate about our mission: making people’s lives better. We’re headquartered in NYC and offer hybrid NY-based positions (three days/ week in-office).

About the role

You are eager to join a dynamic team to gain exposure to and help build out the compliance function at an innovative registered investment adviser and broker-dealer. You thrive in an environment with efficient organization, tracking, and project management. You have strong communication and collaboration skills, attention to detail and accuracy, a desire to iterate and build because you refuse to do things just “because that’s the way they have always been done”. You won’t accept less than a well oiled machine. You are ready to roll up your sleeves and get to work in the most exciting work environment there is!

This role is based out of our NYC office. Below we've reflected the base salary range we would offer for this position. Actual salaries may vary depending on factors including but not limited to location, experience, and performance. The range listed is just one component of Betterment’s total compensation package for employees. 

• New York City: $105,000 - $120,000

We offer a competitive equity package, health, dental and vision benefits, life and AD&D, short-term and long-term disability insurance, EAP, commuter and parking benefits FSA/HSA, and 401(k) with employer match as well as a flexible PTO policy. This job may also be eligible for variable compensation in the form of a company incentive bonus.  For jobs based out of our NYC HQ, we require in office attendance Tuesday through Thursday, weekly.

A day in the life

• Learn about SEC and FINRA regulations and apply that knowledge to help grow the business and support and enhance a rapidly expanding compliance program
• Develop ownership of the day-to-day review and approval process of the firm’s marketing materials
• Ensure that all marketing and communications comply with applicable regulatory guidelines
• Provide guidance and training
• Assist with updates to and implementation of policies and procedures
• Create internal controls through the development and execution of testing and monitoring routines
• Support the Compliance team on execution of day-to-day tasks ranging from regulatory exam support, and annual reviews, to ownership of specific compliance projects
• And so much more!

What we’re looking for

• Contributor with 3 years of experience in role, highly proficient in subject area. Able to mentor and train others
• A love for organization, a meticulous attention to detail and process
• Excellent communication skills
• A desire to work in a fast paced environment
• Ability to work well across various business units and develop strong partnerships
• Want to learn and have an impact quickly

What being at Betterment means for you

We change lives

Join a community of innovators working to transform financial outcomes for real people. Your work will make an impact, always laddering up to our mission: making people's lives better.

We set audacious goals

We set them for the company, our customers, and ourselves—and we won’t stop until we reach them. We don’t just show up; we give our all, then celebrate our wins.

We value all perspectives

When we collaborate, we're at our best. We believe diverse perspectives lead to better outcomes and strive to uphold our supportive and inclusive community.

 We invest in you with:

• A competitive suite of benefits, including: medical, dental, and vision insurance; life and AD&D insurance; STD and LTD benefits, including infertility support and World Professional Association for Transgender Health approved benefits; and generous parental leave. 
• Flexible paid time off (and encouragement to use it!)
• Meaningful opportunity for community building through our 7 Employee Resource Groups
• Empowerment to own and lead change and affect the business
• Dedicated professional development opportunities
• Lunch from our in-house chef three days a week at our NYC headquarters

What happens next

We’ll take a few weeks to review all applications. If we’d like to spend more time with you, we’ll reach out to arrange next steps, which will incl