Acorns · 3 months ago
Sr. Manager, Compliance
United States
Full-time
Hybrid
Senior Level
$145K/yr - $170K/yr
7+ years expAcorns is a financial wellness app dedicated to helping people save and invest money. They are seeking a Senior Manager of Compliance to ensure regulatory standards are met while shaping compliance strategy and collaborating with various departments to maintain trust with customers.
FinanceFinancial ServicesFinTechWealth Management
Responsibilities
Modify, update, and implement the investment adviser and broker-dealer written policies and procedures in response to regulatory and business requirements
Responsible for the annual review and refresh of the compliance department's Standard Operating Procedures (SOPs)
Identify, prioritize, and mitigate investment adviser and broker-dealer risks to ensure compliance with regulatory requirements across the organization
Assist the CCO with SEC and FINRA examinations, inquiries, and requests from other relevant authorities
Collaborate with key business partners such as Legal, Marketing, Product, Support, and Invest Operations to champion business and compliance initiatives
Support the day-to-day compliance activities, including the review of customer complaints, marketing materials, referral program, and public communications, to ensure the firm adheres to regulatory, legal and internal policy standards
Develop risk management strategies and contribute to strategic compliance goals aligned with the firm's mission
Manage a small team of direct reports. Provide guidance, mentorship, and performance feedback to ensure the success of the compliance program
Provide compliance insights to the CCO, CEO, and other key stakeholders
Serve as a role model by embodying and promoting the firm's cultural principles
Qualification
Required
FINRA Series 7 and 24 are required. Series 65 or 66 license or obtain it within the first 90 days
7+ years of compliance experience, SEC Registered Investment Adviser or Broker Dealer
BS / BA Degree or equivalent
Experience working with SEC and FINRA rules and regulations, specifically the SEC Marketing Rule and FINRA Rule 2210
At least 2+ years of experience managing and developing team members, fostering growth and performance excellence
Demonstrated experience motivating, supporting, and developing team members to meet performance expectations and build their careers
Ability to align compliance strategy with organizational goals and guide the team through effective execution
Strong ability to communicate compliance expectations and initiatives, clearly and effectively
Commitment to upholding policy and procedures per company standards
Own strategic decision-making and effectively communicate direction to team members
Hunger to deliver game-changing products
Exceptional drive and precision in delivery
A belief that your work is tied to your life's mission
Optimistic about the potential of societal change
Preferred
Prior work experience with the SEC or FINRA is highly desirable
Passion for Acorns' mission and a belief in the potential for societal change through innovative financial solutions
Benefits
Competitive salary and stock options
A comprehensive benefits package to meet the needs of you and your family
Flexible paid time off
Numerous career possibilities that allow you to grow with Acorns
Talented and motivated team members who care deeply about one another, our mission, and our customers.
The rare opportunity to create a new world. We inspire one another every day to do meaningful work that solves big societal challenges.
Including 401(k) eligibility and various paid time off benefits, such as vacation, sick time, and parental leave
Company
Acorns
Acorns is a financial technology and services company that specializes in automated investments and robo-advice.
501-1000 employees
Funding
Current Stage
Late StageTotal Funding
$510.01MKey Investors
TPGThe Rise FundJacobs Asset Management
2022-03-09Series F· $300M
2019-08-19Series Unknown
2019-01-28Series E· $105M
Leadership Team
Noah Kerner
CEO & Chairman
B
Beau Sullivan
VP of Securities
Recent News
headline.com
2026-01-14
baincapitalventures.com
2025-12-29
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