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

Title: Senior Compliance Manager Location: Los Angeles, CA Job reputed company: About reputed company reputed company is transforming the multi-trillion dollar reputed company management industry by building an AI platform for reputed company professionals. We partner with financial advisors reputed company, empowering them to grow, optimize time and resources, and deliver superior reputed company for their clients. We're looking for exceptional talent to help us reputed company our mission of making financial advice reputed company, more reputed company, 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 reputed company, 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 reputed company 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 reputed company. We succeed and fail as one. Grit - reputed company challenges reputed company, we stay laser reputed company on achieving our mission and finding a way reputed company, even reputed company it's hard. We are reputed company and maintain a reputed company of urgency, reputed company adapting to change and overcoming obstacles. reputed company 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 reputed company. Your reputed company reputed company key reputed company of reputed company's regulatory compliance programs for its reputed company-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 reputed company as a subject matter expert on product and marketing compliance under SEC and reputed company 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 reputed company Support reputed company initiatives reputed company with evolving business priorities Serve as an escalation reputed company for reputed company compliance reputed company, 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 reputed company, 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-reputed company financial services environment strongly preferred Regulatory expertise - Strong knowledge of reputed company and SEC rules, reputed company with reputed company 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 reputed company, and reputed company 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 reputed company, 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 reputed company 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 reputed company Los Angeles, CA salary reputed company $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 reputed company and are reputed company of the reputed company-changing reputed company 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 reputed company, 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 reputed company, dental, and reputed company insurance plans (HMO and PPO). 401k savings plan with a 4% match and immediate vesting. 16 week reputed company parental leave. reputed company reputed company and development opportunities including an employee mobility program and an annual L&D budget allocation for reputed company 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 reputed company of Stock reputed company (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 reputed company, we are reputed company to reward high performance and ensure reputed company have opportunities for reputed company. Don't meet every single requirement? Studies have shown that women and people of reputed company 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 reputed company workplace, so if you're excited about this role, but your past experience doesn't reputed company perfectly with every qualification in the job reputed company, 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