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Senior Compliance Associate, Compliance Operations - Marketing and Advertising Compliance - Remote

Posted 4 weeks ago
Finance / Legal
Full Time
CA, USA

Overview

Wealthfront is seeking an experienced and talented Senior Compliance Associate to join our Compliance Operations Team, with a specialized focus on marketing and advertising compliance. A successful candidate will ensure that all marketing and advertising communications comply with regulatory requirements, including the SEC Marketing Rule and FINRA Rule 2210.

In Short

  • Conduct thorough reviews of marketing and advertising materials for compliance.
  • Provide feedback to ensure alignment with regulatory standards.
  • Monitor regulatory developments impacting marketing activities.
  • Develop and maintain compliance guidelines and frameworks.
  • Provide strategic guidance on marketing initiatives.
  • Collaborate with various departments to ensure compliance.
  • Support regulatory examinations and audits.
  • Own compliance-related projects and inquiries.
  • Communicate updates on regulatory changes to stakeholders.
  • Demonstrate strong analytical and organizational skills.

Requirements

  • BA/BS degree.
  • 4+ years of relevant experience.
  • FINRA Series 7 (required).
  • FINRA Series 24 preferred.
  • Willingness to obtain other registrations as necessary.

Benefits

  • Competitive salary and benefits package.
  • Opportunity to work in a dynamic and innovative environment.
  • Professional development opportunities.
  • Collaborative team culture.
  • Flexible work arrangements.
Wealthfront logo

Wealthfront

Wealthfront is a pioneering financial technology company that transformed the investment advisory landscape by providing automated investing solutions that make sophisticated investment strategies accessible to a broader audience at a lower cost than traditional financial advisors. With a mission to build a financial system that favors individuals over institutions, Wealthfront has expanded its offerings to include exceptional banking features through its Brokerage Cash Account, enabling clients to automate their finances seamlessly. The company has attracted over $70 billion in client assets and continues to innovate in the robo-advisor space, aiming to empower young investors to make informed decisions and build long-term wealth effortlessly. Wealthfront values diversity and is committed to creating an inclusive environment for all employees.

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