Betterment · 13 hours ago
Sr. Director, Compliance
Betterment HQ - New York City
Full-time
Hybrid
Lead/Staff
$215K/yr - $250K/yrBetterment is a leading, technology-driven financial services company that offers investing and retirement solutions. The Sr. Director of Compliance will enhance compliance operations and marketing functions, ensuring adherence to regulations while managing a team and improving processes.
FinanceFinancial ServicesFinTechImpact InvestingRetirement
Responsibilities
Manage and develop a team of six (6) junior and mid-level employees
Facilitate the operation of our compliance program
Manage the law, rule, and regulation inventory, compliance policies, the regulatory change process, regulatory exams and audits
Manage compliance key risk indicators
Help prepare compliance program-related presentations for various committees
Manage our monitoring and testing program
Maintain compliance governance and reporting processes
Enhance team operations and workflow management, including ensuring team procedures are properly documented and updated
Manage and oversee the daily review of marketing materials and social media related investment advisory and broker-dealer products to ensure adherence to SEC Rule 206(4)-1, FINRA 2210, Reg DD and other applicable regulations
Partner and collaborate with the marketing team, including advising on initiatives to help achieve business goals
Be the Compliance representative in the vendor management and oversight process
Help formulate and organize team objectives
Identify ways to improve Compliance team efficiency and organization
Qualification
Required
Deep and varied experience in the financial services industry, supporting and overseeing compliance programs
Experience managing small teams and the ability to influence cross functional teams
Knowledge of FINRA and SEC rules
Strong organization and time management skills to ensure deliverables meet the defined timeline and quality
Meticulous attention to detail and written/verbal communication skills to manage project execution and overall coordination efforts of compliance team
Preferred
Series 24 preferred
Benefits
Competitive equity package
Health, dental and vision benefits
401(k) offering with employer match
Flexible PTO policy
Variable compensation in the form of a discretionary company incentive bonus
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
Generous parental leave
Flexible paid time off
Meaningful opportunity for community building through our 7 Employee Resource Groups
Dedicated professional development opportunities
Lunch from our in-house chef at our NYC headquarters
Company
Betterment
Betterment is an online investment company that offers investing and retirement solutions for their current clients and clients-to-be.
Founded in 2008
201-500 employees
Funding
Current Stage
Late StageTotal Funding
$435MKey Investors
TreasuryORIX Growth CapitalSharesPost Investment Management
2021-09-29Series F· $60M
2021-09-29Debt Financing· $100M
2021-04-30Series Unknown
Leadership Team
John Mileham
CTO
Jon Stein
Founder and Board Member
Recent News
2026-01-22
2026-01-22
2026-01-22
Company data provided by crunchbase