Betterment · 10 hours ago
Manager, Compliance
New York, NY
Full-time
Hybrid
Mid, Senior Level
$130K/yr - $150K/yrBetterment is a leading, technology-driven financial services company that offers investing and retirement solutions. The Manager, Compliance will oversee the compliance function, manage a small team, and ensure adherence to SEC and FINRA regulations while collaborating with the marketing team.
FinanceFinancial ServicesFinTechImpact InvestingRetirement
Responsibilities
Manage and develop two (2) direct reports, conducting daily marketing review and other program tasks
Manage and oversee the daily review of marketing materials and social media related to 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
Identify marketing program enhancements
Review marketing-related vendors including promoters and influencers as part of our third party risk management program
Execute the Compliance program for his or her area of responsibility, including promulgating policies and procedures, conducting monitoring, testing, and assessments, and providing training
And, so much more!
Qualification
Required
Expertise in SEC Rule 206(4)-1 and FINRA Rule 2210, including rules related to testimonials/endorsements and performance marketing
Ability to organize and prioritize workflow and assignments in a deadline-oriented environment
Ability to multi-task and work within tight deadlines
Management experience
A meticulous attention to detail
Desire to work in a fast paced and changing environment
Excellent communication and organizational skills
Ability to work well across various business units
Strong intellectual curiosity
Series 24 required (or must obtain)
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
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