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Director of Compliance

1 hour, 41 minutes ago
United States
Full-time
Lead
Compliance Manager
Operations
Apply Now
Wealthfront

Wealthfront

Wealthfront is a leading financial planning and investing platform that combines technology and academic strategies to help individuals grow their wealth easily and affordably.

Capital Markets
51-250
Founded 2011
$274M raised
View All Jobs 10

Description

  • Lead the compliance risk management team to support compliant operations across business lines and regulated entities.
  • Support the Chief Compliance Officer in running the enterprise-wide compliance and ethics program.
  • Supervise and mentor compliance staff and develop compliance training initiatives.
  • Lead the Governance, Risk, and Compliance (GRC) program, including process, risk, and control documentation.
  • Administer the company’s policy governance program for policies and procedures.
  • Develop and maintain an AI governance framework for safe, ethical, and legally compliant AI deployment.
  • Plan, execute, and report on monitoring, testing, risk assessments, and certifications for broker-dealer supervisory policies.
  • Lead annual control evaluations and reporting for the broker-dealer and investment advisers.
  • Partner with legal leadership on regulatory change management and compliant product and service solutions.
  • Oversee compliance efforts related to the Wealthfront Treasury Money Market Fund and regulatory filings.

Requirements

  • 10+ years of professional experience, including direct compliance experience at a broker-dealer or investment advisory firm.
  • FINRA Series 7 and 24 or Series 14.
  • Willingness to obtain additional registrations and/or licenses as needed.
  • Strong working knowledge of FINRA, MSRB, and SEC rules, especially public communications and record-keeping requirements.
  • Excellent communication skills and ability to influence outcomes at all levels.
  • Strong organizational skills and ability to meet deadlines in a fast-paced environment.
  • Customer-focused, business-centric, and team-oriented mindset.
  • Intellectual curiosity about using technology to improve business processes (preferred).
  • Broad analytical skills with experience identifying, quantifying, and solving problems (preferred).
  • Experience with mutual funds, money market funds, ETFs, margin products, and 529 plans (preferred).
  • General understanding of investment advisory, planning, banking, and insurance (advantageous).

Benefits

  • Estimated annual salary of $215,000 - $246,875.
  • Equity package.
  • Discretionary bonus.
  • Medical, vision, and dental insurance.
  • 401(k) plan.
  • Generous time off.
  • Parental leave.
  • Wellness reimbursements.
  • Professional development support.
  • Employee investing discount.

Interested in this position?

Apply directly on the company website

Apply Now

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