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Salary: USD 95,000 - 115,000 / annual
Stash is a fintech company that provides investing, banking, and personalized financial guidance through a mobile app for everyday Americans. The company operates a broker-dealer and investment adviser business serving retail customers.
As Senior Associate, Broker Dealer Compliance, you will report to the Vice President of Broker-Dealer Compliance and serve as a key compliance resource across the organization. You will collaborate with Legal, Customer Experience, Brokerage Operations, Product, Marketing, Engineering, and other teams to ensure Stash meets all applicable federal laws and regulatory requirements.
Key responsibilities include:
- Provide real-time compliance guidance to Customer Experience and Operations teams on customer disputes and inquiries
- Coordinate responses to FINRA regulatory filings, regulatory examinations, and inquiries related to customer complaints across all Stash entities
- Monitor and test Stash Capital's policies and procedures to ensure effective end-to-end controls in trading, money movement, and internal controls
- Act as the compliance liaison to identify and escalate systemic issues to senior management
This is a hybrid role requiring at least three days per week on-site in the New York office to collaborate with stakeholders and support team cohesion.
Requirements:
- 1–3 years of relevant work experience in compliance, including exposure to retail broker-dealer operations, retail investment adviser operations, or consumer banking
- Familiarity with key broker-dealer and investment adviser laws and regulations, including FINRA rules and the Investment Advisers Act of 1940
- Active FINRA Series 7 license
- Ability to adapt to new information and craft customer-centric responses in ambiguous situations
- Exemplary attention to detail, exceptional analytical skills, and strong judgment; analyzing and editing skills are particularly important
Preferred qualifications:
- Compliance testing experience
- Experience with analytical platforms such as ChatGPT, Looker, SQL, or similar tools
