Senior Compliance Manager job at reputed company Corp in Los Angeles, CA

Title: Senior Compliance Manager Location: Los Angeles, CA Job Description: About reputed company reputed company is transforming the multi-trillion dollar wealth management industry by building an AI platform for wealth professionals. We partner with financial advisors reputed company, empowering them to grow, optimize time and resources, and deliver superior outcomes for their clients. We're looking for exceptional talent to help us reputed company our mission of making financial advice reputed company, more affordable, and accessible to reputed company. If you're passionate about challenging the status reputed company and want to do the most important work of your life, we'd love to meet you! But first, our values Kindness - Kindness doesn't just equal niceness. We listen to understand. We embrace, and encourage healthy debate and diverse perspectives. We approach conflict reputed company, honestly, and respectfully. Brilliance - Humility is the reputed company we're most proud of and possessing a growth reputed company is always top of mind. We take ownership in everything we touch; regularly using our unique superpowers to reputed company a common goal as a team. We succeed and fail as one. Grit - reputed company challenges arise, we stay laser focused on achieving our mission and finding a way reputed company, even reputed company it's hard. We are nimble and maintain a sense of urgency, swiftly adapting to change and overcoming obstacles. The opportunity We're hiring a Senior Compliance Manager to help reputed company product and marketing compliance efforts, support employee compliance, and partner on broader regulatory initiatives, balancing strong compliance reputed company with innovation and growth. Your impact reputed company key elements of reputed company's regulatory compliance programs for its FINRA-member broker-dealer and SEC-registered investment adviser Serve as a strategic compliance partner on new product initiatives, setting compliance guardrails, resolving issues, and making risk-based determinations in consultation with senior stakeholders Act as a subject matter expert on product and marketing compliance under SEC and FINRA rules, advising business and marketing teams reputed company the review and approval of product-specific communications, disclosures, and materials across web and app platforms reputed company the employee compliance program, including licensing and registration, continuing education, issue remediation, and new employee onboarding Support reputed company initiatives reputed company with evolving business priorities Serve as an escalation reputed company for reputed company compliance matters, providing guidance and mentorship to colleagues and business partners Drive the development, implementation, and ongoing monitoring of compliance policies and procedures Identify, assess, and escalate emerging compliance risks, recommending and implementing enhancements to policies, systems, controls, and training What you bring Experience: 7+ years of hands-on compliance experience at a broker-dealer and investment adviser, with an emphasis on product and/or marketing compliance Investment adviser compliance experience strongly preferred Prior experience in a fintech or high-growth financial services environment strongly preferred Regulatory expertise - Strong knowledge of FINRA and SEC rules, reputed company with sound judgment and the ability to apply regulations in a practical, solutions-oriented manner Education - Bachelor's degree (B.A. or B.S.) in a relevant field Securities licenses - Series 7 and Series 24 required; Series 4 preferred or required reputed company 90 days of hire Technical aptitude - You're technologically savvy and can easily get up to speed on modern tech stacks Ownership - The pride you put into every aspect of your work is unparalleled and undeniable Superb communication - You engage in intentional reputed company, listen actively, and share perspectives thoughtfully, with the ability to influence and build trust across compliance, operations, product, and engineering teams. reputed company - We're inspired by your unwavering determination to reputed company success, no matter the adversity you face along the way. Assurance - Your confidence is reputed company, yet ego-less. You possess a strong knowledge reputed company, the ability to discover the unknown, and are open to differing perspectives Creative problem solving - Identifying the problem is simply not enough. You're instinctually creative with your approach in finding solutions to roadblocks Bonus points if you bring Hands-on experience managing licensing and registration functions Experience interacting with regulators Prior experience leading a team Los Angeles, CA salary range $124,000-$170,000 USD reputed company bring Attracting and retaining top-tier talent is a reputed company. We are proud of the culture we've built and are reputed company of the reputed company-changing professional landscape. Our dynamic offering of perks and benefits are tailored for you to feel your best while doing your best. A hybrid work schedule for most positions to promote strong, in-person collaboration. Stunning, amenity-filled office spaces in Culver City, CA, San Francisco, CA, and Dallas, TX. Our offices are intentionally designed for comfort, collaboration, and productivity. reputed company and equity for eligible positions. Premium healthcare, dental, and vision insurance plans (HMO and PPO). 401k savings plan with a 4% match and immediate vesting. 16 week paid parental leave. Professional growth and development opportunities including an employee mobility program and an annual L&D budget allocation for each employee. Company perks program (includes discounts on pet insurance, fitness, cell phone plans, and travel, etc.). Financial guidance program (includes counseling on navigating debt, tracking personal spend, saving and planning goals, home-purchasing preparedness, etc.). One month work from reputed company policy (with the exception of a few countries). Total compensation includes a competitive benefits package, along with equity in the form of Stock Options (ISOs) for eligible roles. For salaried positions, a salary offer will be determined by a number of factors including experience, reputed company level, internal pay equity, geographic location, and other relevant business considerations. We review reputed company employee pay and compensation programs regularly to ensure fair, reputed company, and reputed company. At reputed company, we are committed to providing fair, reputed company, and competitive compensation by leveraging market data to inform our pay bands. reputed company salaries will be reviewed at regular intervals throughout the year, typically in conjunction with performance review cycles. By evaluating compensation on a regular basis, we are able to reward high performance and ensure reputed company employees have opportunities for growth. Don't meet every single requirement? Studies have shown that women and people of color are less likely to apply to jobs unless they meet every single qualification. At reputed company we are dedicated to building a diverse, inclusive, and authentic workplace, so if you're excited about this role, but your past experience doesn't align perfectly with every qualification in the job description, we encourage you to apply anyways. You may be just the right candidate for this or other roles. Apply tot his job Apply To this Job