Compliance Manager Remote Jobs

22 Results

+30d

Senior Compliance Officer

EllevestRemote (United States)
c++

Ellevest is hiring a Remote Senior Compliance Officer

Who We Are

Ellevest is an investing and wealth management company built by women, for women. In a sea of financial services, we stand apart with our mission to get more money in the hands of women, no matter where they’re starting or how far they’ve come. We started by building the only gender-aware online investing platform that takes totally un-ignorable realities (like pay gaps, different salary curves, and women’s longer lifespans) into account. Then we added financial planning services for Ellevest clients, plus a full-service private wealth management service that helps high net worth people, families, and institutions align their financial power with their values.

Ellevest was co-founded by Wall Street veteran, Sallie Krawcheck. Prior to Ellevest, Krawcheck was one of the only financial executives of her generation to have held C-suite roles at the largest global banks — as CEO of Merrill Lynch, Smith Barney, US Trust, and Sanford Bernstein and as CFO of Citi. As a venture-funded business, we’ve beat impossibly long odds to raise $145 million in venture-capital funding (women CEOs raise $1 out of every $10,000 Series B fintech dollars). Our investors include: Rethink Impact, Venus Williams, Valerie Jarret, Pivotal Ventures, and Melinda Gates’ family office.

Diversity, Equity & Inclusion

Ellevest is an equal opportunity employer and we value diversity at our company. Data shows that diverse teams are moreinnovative, makebetter decisions, and lead to greateremployee engagement. When hiring, we look for culture add, not culture fit. That means hiring people who bring new perspectives and different experiences to our team. We do not discriminate on the basis of race, religion, color, national origin, gender, sexual orientation, age, marital status, veteran status, or disability status. 

About This Position

As a Senior Compliance Officer at Ellevest, you will work closely with the Chief Compliance Officer on a broad range of compliance and regulatory matters aimed at developing and maintaining an effective investment advisory compliance program. You'll partner with stakeholders across the company to support all Ellevest service offerings from investing and financial planning to wealth management. You enjoy collaborating with teammates across disciplines including investments, product, marketing and more, always bringing a thoughtful approach to communication and teamwork. 

Day-to-day you will:

  • Administer and maintain the compliance program, including the company’s policies, procedures, and Code of Ethics by helping to identify and assess new business and regulatory risks
  • Provide compliance training and guidance to internal business partners on investment advisory compliance issues and permissible activities under the company’s policy and the Investment Advisers Act of 1940, Securities Act of 1933, and other applicable regulations
  • Lead the compliance monitoring and surveillance program to assess the effectiveness of company policies and procedures
  • Review marketing materials for compliance with the Advisers Act and other applicable regulatory requirements
  • Maintain Ellevest’s Form ADV, including its advisory and wrap fee brochures; prepare annual amendments and interim updates and filings
  • Support regulatory examinations including compiling information requested; interface with SEC and other auditors
  • Support ongoing compliance testing for Ellevest, including annual and ongoing assessments of compliance programs, and create new testing as necessary in response to regulatory or business needs
  • Support onboarding and offboarding employees and contractors, including managing the registration process for Investment Adviser Representatives
  • Serve as the compliance liaison to Ellevest’s risk management committees
  • Work with external partners to support Ellevest’s compliance operations and processes 

We’re looking for: 

  • 5+ years of compliance experience within financial services, and more specifically Registered Investment Advisors (RIA) experience (Fintech experience is a plus but not required)
  • Fluency in all SEC-registered investment advisor issues, including the Investment Advisors Act of 1940, Securities Act of 1933, and the ability to apply that knowledge strategically in light of changing regulation and business initiatives
  • Experience building and implementing risk-based compliance testing and monitoring programs
  • Risk-based critical thinking skills and strong written and oral communication skills
  • Ability to work with a sense of urgency and deliver work with the appropriate level of accuracy, proficiency, and timeliness
  • Impeccable integrity and a customer-first ethos
  • Project management and process improvement capabilities with the ability to prioritize and manage multiple projects independently
  • Passion for our women-oriented mission

Ellevest's compensation framework is based on relevant data, benchmarking and research for comparable companies and on our internal pay equity policies. The prospective annual salary for this role is $120,000-130,000. In addition to base salary, Ellevest compensation offering for full-time employees will also include the following benefits: equity, 401k plan with employer contribution, medical, dental and vision health insurance (80% of premiums covered by employer), unlimited paid time off and flexible scheduling, paid parental leave, learning and development opportunities, financial support for accessing reproductive healthcare, free access to Ellevest membership and discounts on Wealth Management offering. The actual offer, reflecting the total compensation package and benefits, will be determined by a number of factors including (but not limited to) the applicant's experience, skills, certifications, as well as internal equity among our team. 

Working at Ellevest

Ellevest was founded in New York City, but today, our fully remote team is spread across the whole United States. As a member of the team, you can expect to do work that directly impacts our mission and the lives of real women every day.

We’re also dedicated to building a work environment where everyone on our team can grow and thrive, with flexible working hours and time off; remote work policies designed for transparency and effective cross-team collaboration; ongoing team building and professional development; and more.

Do you think you could thrive in this role?

Please send us your application — even if you don’t check everysinglebox. No two people’s career paths look exactly alike, and skill sets come in many different forms. We can’t wait to hear about yours.

Note: Instead of a cover letter, we ask you to answer the questions at the bottom of this application.

See more jobs at Ellevest

Apply for this job

+30d

Senior Compliance Engineer

InMarketRemote (US Only)
agilemobilec++

InMarket is hiring a Remote Senior Compliance Engineer

Title: Sr. Compliance Engineer

Location:Remote - US ONLY

 

About inMarket

Since 2010, InMarket has been the leader in 360-degree consumer intelligence and real-time activation for thousands of today’s top brands. Through InMarket's data-driven marketing platform, brands can build targeted audiences, activate media in real time, and measure success in driving return on ad spend. InMarket's proprietary Moments offering outperforms traditional mobile advertising by 6x.* Our LCI attribution platform, which won the MarTech Breakthrough Award for Best Advertising Measurement Platform, was validated by Forrester to drive an average of $40 ROAS for our clients.
*Source: Wordstream US Google Display Benchmarks for Mobile Media

About the Role

Join the team responsible for protecting our customers, our data, and our company from malicious actors at all levels. We are an outcomes focused team, focused on enabling our internal customers for success by providing them with clear guidance and strong security controls. We're looking for an exceptional compliance engineer to join the team at the center of security and safety here at InMarket.

In this role you will be responsible for working with great depth and breadth to build out our compliance program and ensure we’re satisfying our security goals both internally and externally. You’ll be hands-on with our SOC2 / NIST compliance initiatives, ensuring 3rd party vendor compliance, and fielding questions from our partners.

You will be working and communicating closely with many technical teams to develop context and foresight into what our true risks are, and work towards holistic longlasting remediation with guidance and real world solutions. Our goal is to create a cohesive balance between risk, operational effectiveness, and compliance.

The ideal candidate for this team is someone who is a self starter with a strong audit and compliance background, who has the technical skills to dive in when needed. As for all our security roles we’re looking for an engineering mindset with a passion for security as well as a natural collaborator who can understand business needs and develop security solutions that empathize with people's experiences.

Your Experience and Expertise 

  • BS in computer science, Business, Accounting, Cybersecurity, or equivalent experience
  • 5+ years of experience in engineering, information security operations or related IT operations
  • Strong experience as a SOC2 Compliance auditor, preferably at a big4 firm
  • Controls and Standards knowledge (SOC2, NIST CSF, 800-53, 800-171, CIS)
  • SOX Experience
  • CISA Certification
  • Demonstrable Technical Skills, preferably within cloud environments.

Nice to Haves 

  • CISSP, SANS certifications, OSCP, etc.
  • Some security engineering experience with a specialty in one of the following Vulnerability Management, Penetration Testing, DevSecOps, Third Party / SaaS Security,, Incident Response, Etc)
  • Security Conference, Hackthebox, CTF, or Hackathon experience
  • Active member or speaker in the security / technology community
  • Ability to work and multitask under high pressure situations
  • Excellent written and verbal communication skills. Ability to communicate highly complex security concepts to both technical and non-technical audiences

Finally, here are a few more reasons why we love this work and think that you will too:

  • This is a diverse role with unparalleled visibility where you’ll be able to learn new tech daily.
  • You will have the opportunity to shape the security function with the support and autonomy to actually do it.
  • Great support from executive leadership who understand the true value in security and genuinely back the mission.

Benefits Summary

  • Competitive salary, stock options, flexible vacation
  • Medical, dental and Flexible Spending Account (FSA)
  • Company Matched 401(k)
  • Unlimited PTO (Within reason)
  • Talented co-workers and management
  • Agile Development Program (For continued learning/professional development)
  • Generous Paid Parental Leave

 

For candidates in California, Colorado, and New York City, the Targeted Base Salary Range for this role is $135,000 to $175,000. 

Actual salaries will vary depending on factors including but not limited to work experience, specialized skills and training, performance in role, business needs, and job requirements. Base salary is subject to change and may be modified in the future. Base salary is just one component of InMarket’s total rewards package that also may include bonus, equity, and benefits.  Ask your recruiter for more information!

At InMarket we are committed to a culture that supports diversity, inclusion, belonging and equal opportunity. We celebrate all people and believe everyone deserves respect regardless of race, gender, sexual orientation, backgrounds, experiences, abilities or beliefs.

InMarket is an Equal Opportunity Employer (EOE). Qualified applicants are considered for employment without regard to age, race, color, religion, sex, national origin, sexual orientation, disability, or veteran status.

Privacy Notice for California Job Applicants: https://inmarket.com/ca-notice-for-job-applicants/

#LI-Remote

See more jobs at InMarket

Apply for this job