Design & Implement: Create robust broker-dealer and investment advisory written procedures and SOPs that align with evolving regulatory requirements.
Review & Refine: Audit public communications and marketing materials to ensure they are consistent with regulatory guidelines and internal policies.
Voice of the Customer: Review customer communications to detect, identify, and document customer complaints, ensuring every concern is addressed with integrity.
Educate: Lead regulatory compliance training for registered associates to promote awareness and adherence to best practices.
Strategic Advisory: Act as a subject matter expert for management and key stakeholders on all compliance-related matters.
Regulatory Liaison: Coordinate and assist with regulatory inquiries and examinations from governing bodies.
Risk Mitigation: Lead comprehensive risk assessments to investigate, identify, and address potential compliance issues, recommending actionable solutions.
Collaborate: Partner with other compliance officers on various team projects and strategic initiatives.
Stay Ahead: Maintain current, expert-level knowledge of regulatory changes to keep Acorns ahead of the curve.

7+ years experience with a Financial Services organization
FINRA SIE, Series 7, 24, 63 and 65 (or 66) licenses required
Proven experience in financial compliance, specifically with broker-dealer and investment advisory regulations.
Exceptional ability to evaluate risk and make sound decisions as an individual contributor or part of a fast-paced team.
Strong communication and interpersonal skills, with the ability to translate complex regulations into actionable business plans.
Experience with regulatory inquiries and a deep understanding of the current financial regulatory environment.
Hunger to deliver game-changing products.
Exceptional drive and precision in delivery.
A belief that your work is tied to your life's mission.
Optimistic about the potential of societal change.

Competitive salary and stock options
A comprehensive benefits package for you and your family
Flexible work location, hours, and paid time off
401(k) matching
Monthly Acorns account contribution & GoHenry account for your family
Mindfulness and Financial Wellness resources, Headspace and Addition Wealth
Acorns Career Development Program (Ongoing training sessions, development plans, development check-ins, Cornerstone’s online training platform)
Roots Leadership Program for Emerging Leaders
Community week onsite gatherings and various virtual events
Talented and motivated team members who care deeply about one another, our mission, and our customers.
The rare opportunity to create a new world. We inspire one another every day to do meaningful work that solves big societal challenges.

Senior Compliance Officer

Key skills