Compliance Operations Lead, True Link Financial
Financial solutions for caregivers and people with complex needs
Open for applications
Financial solutions for caregivers and people with complex needs
101-200 employees
Open for applications
101-200 employees
Company mission
To provide financial solutions for people with complex needs and the people who care for them.
Role
Who you are
- 5+ years of experience in startup compliance operations, investment advisory operations, or financial services operations
- Experience scaling compliance operations at a small, growing financial services company, fintech, or other startup in a highly-regulated industry
- Extremely organized, detail-oriented, and comfortable owning repeatable processes with precision. Great at managing documentation, records, and access controls across systems; experience with exams or audits is a plus
- Known as a process improver, your coworkers turn to you when they need help fixing a process. When you see an inefficient or manual process, you immediately get the wheels turning about how to automate and scale the process - and then you make it happen
- Energized by navigating ambiguity and complexity, and bringing structure, clarity, and consistency to operational systems
- Strong communicator and project manager who can partner closely with internal teams, including client services, compliance, and operations, and with external partners
- Familiarity with registered investment advisor (RIA) requirements, custodial account opening, and advisory documentation workflows is a plus
What the job involves
- This new role, Senior Manager, Client Compliance Operations, will lead the development of scalable compliance processes across True Link’s investment advisory business, as we surpass $2B in assets under management
- This person will own critical workflows across account agreements and documentation, fee processes, and compliance communications, all with a focus on accuracy and a smooth experience for our clients
- This is an exciting, new, high-impact role for someone who loves getting the details right, strengthening processes, and keeping a fast-moving advisory business organized and audit-ready
- Lead and scale critical compliance processes as we grow, to ensure efficiency and accuracy on all account maintenance and documentation
- Manage end-to-end investment agreement workflows, including new client agreements, re-executions, annual audits, and proper filing of executed contracts
- Maintain audit-ready records and organize documents, agreements, and disclosures
- Communicate directly with clients to explain compliance activities and requirements
- Collaborate with our operations teams to refine advisory fee calculation processes and provide ongoing quality assurance
- Proactively support audits, regulatory exams, and compliance communications
- Partner cross-functionally to identify risks, strengthen our systems, and document best practices
Our take
When co-founder Kai Stinchcombe’s grandparent was the victim of financial fraud, he wanted to find a way to help. What was born was True Link, whose aim is to provide ethical and dignified solutions for those too vulnerable to independently manage their money.
True Link’s focus is on supporting three main vulnerable groups: the elderly, disabled people, and those recovering from addiction. It offers both pre-paid Visa cards and investment management, with monitoring and controls for the people who care for them.
It isn’t the only service of its kind, but competitors like EverSafe and Carefull focus almost exclusively on support of the elderly, so True Link’s wider focus on a range of vulnerable groups marks it out from the crowd. Its focus now is on widening the range of services it offers to its clients, with life insurance and credit-based services on the way.
Freddie
Company Specialist at Welcome to the Jungle
Insights
Company
Funding (last 2 of 5 rounds)
Jul 2020
$35m
SERIES B
Oct 2017
$8m
SERIES A
Total funding: $50.3m
Company HQ
Chinatown, San Francisco, CA
Leadership
Claire McDonnell
(Co-Founder & Board Member)Prior to True Link, they were of Co-founder of Awardly and a Consultant at The Bridgespan Group.
Kai Stinchcombe
(Co-Founder & CEO)Previously Head of Risk and Data Science at LendUp. They also founded Strategic Districts, Aktana and the Roosevelt Institution.
Share this job