Senior Associate of Broker Dealer Compliance, Stash

• Candidates should have an impressive record of achievement and at least one to three years of relevant work experience that includes compliance exposure to retail broker-dealer operations, retail investment adviser operations, or consumer banking
• The position requires familiarity with relevant portions of key broker-dealer and investment advisor laws and regulations, such as FINRA rules and the 1940 Investment Advisers Act
• The ability to be open to change in response to new information and craft customer-centric responses in ambiguous situations
• Exemplary attention to detail, exceptional analytical skills, and strong judgment skills; analyzing and editing skills are of particular importance
• Active FINRA Series 7 license

Desirable

• As a Senior Associate, Broker Dealer Compliance, you’ll report to the Vice President of Broker-Dealer Compliance, and collaborate with functional areas across the company to ensure compliance with applicable federal laws and regulations
• Through teamwork, commitment, and a bias toward action, Compliance functional stakeholders partner with Legal, Customer Experience, Brokerage Operations, Product, Marketing, Engineering and other constituent stakeholders to assist Stash in exceeding its ethical and regulatory expectations
• Stash’s compliance function comprises a diverse array of academic and professional backgrounds, and we encourage each of our team members to strive for world-class performance. Compliance selects for candidates who possess high degrees of open-mindedness, conscientiousness, and equanimity
• Collaborate cross functionally with Customer Experience and Operational teams to provide real-time compliance guidance to unique customer disputes and inquiries
• Coordinate responses to FINRA regulatory filings, regulatory exams, and inquiries as they related to customer complaints across all Stash entities
• Monitor and test Stash Capital’s policies and procedures to ensure effective end to end controls in such areas as trading, money movement, and internal controls
• Act as the eyes and ears of compliance to identify and escalate systemic issues Stash’s Customer Experience team or other internal stakeholders identify to senior management