About Us: At the company, we're dedicated to helping individuals build and safeguard their wealth, both for their everyday needs and long-term goals. Our innovative self-directed platform offers a seamless solution for investing, borrowing, spending, and saving, all in one convenient location. With automation at the core, we tailor each user's experience to their unique financial strategy. Trusted by hundreds of thousands of clients, we manage over $8 billion in assets. As the Finance Super App™, we empower our clients' financial well-being through cutting-edge tools such as automated investing, high-yield savings accounts, hassle-free margin loans, low-cost personal loans, and generous cash back rewards that can be reinvested directly into your the company portfolio. Our vision is to democratize the private banking experience, making the tools and services typically reserved for the ultra-wealthy accessible to everyone with just a click. Recognized as a top app for investors, we've earned accolades including the 2023 Best for Low Costs and Best for Sophisticated Investors by Investopedia, 2023 Best Investment App for Portfolio Customization by Insider, and acknowledgment as one of the best Roth IRAs by Fortune. With over 60,000 five-star reviews on both the Apple App Store and Google Play, we're proud to have garnered the trust of our clients. As a rapidly growing fintech company, we're on the lookout for talented individuals who are passionate about revolutionizing personal finance. We value individuals who are committed to their personal and professional growth and who are eager to take ownership of their work. Our award-winning workplace culture has been lauded by Inc. as one of the Best Workplaces of 2022, recognized as one of the Best Places to Work in Chicago for both 2022 and 2023 by Built In Chicago, acknowledged as one of the Top Fintech Companies of 2021 by CB Insights, and celebrated as a 2021 Top Workplace by the Chicago Tribune. At the company, we genuinely believe that "M1 is yours to build." the company is a remote-forward organization and currently only able to hire in the following states: CO, FL, GA, IL, IN, MN, NJ, NY, PA, TX, UT, VA, OR, WA. What You'll Do: As an integral part of the the company team, you'll be instrumental in shaping the future of our company. Reporting directly to our Head of Compliance, you'll assist our business partners in navigating the complex regulatory landscape. You'll have the opportunity to collaborate with and influence colleagues across the organization to ensure the company remains fully compliant with all relevant laws and regulations. Your varied responsibilities will contribute to every aspect of our compliance efforts, including: - Providing guidance and support to teams across the company on regulatory matters and new product initiatives. - Conducting research and responding to regulatory complaints, inquiries, examinations, and audits. - Effectively communicating complex regulatory concepts, translating them into actionable advice, and gaining alignment from stakeholders at all levels. - Reviewing advertising, marketing materials, and electronic communications in accordance with FINRA and SEC regulations, internal policies and procedures, and other relevant guidelines. Qualifications: - Required: FINRA Series 7 and 24 certifications. - 3-5 years of compliance experience in the financial services industry. - Experience in reviewing marketing materials and retail communications. - Exceptional verbal and written communication skills, with the ability to convey complex information clearly and concisely. - Strong interpersonal skills, enabling effective collaboration, problem-solving, and influence across all levels of the organization. - Ability to thrive in a fast-paced environment, managing multiple tasks and deadlines with meticulous attention to detail. Bonus Points for: - Proficiency in SQL and Tableau. - Additional experience in financial services, including banking, loans, and credit cards. - Knowledge of crypto compliance. - Previous experience in fintech or startup environments. the company's Commitment to Diversity: At the company, we embrace and celebrate diversity in all its forms. We're dedicated to fostering an inclusive environment where everyone feels valued, respected, and empowered. We actively encourage individuals from diverse backgrounds, including women, minorities, veterans, members of the LGBTQIA+ community, and individuals with disabilities, to apply. Our Core Values: Our team embodies our core principles, guiding everything we do: - Mission Driven: We're passionate about improving financial well-being and recognize its profound impact on individuals' lives. - Extreme Ownership: We take full responsibility for our actions and results, ensuring accountability to our clients, teammates, and shareholders. - Boldness: We dare to dream big and pursue ambitious goals, refusing to settle for mediocrity. - Ruthless Prioritization: We focus our efforts on what truly matters, saying no to distractions to deliver exceptional results. - Integrity: We uphold the highest ethical standards, always doing the right thing, even when it's difficult. - Effectiveness: We're resourceful and adaptable, doing whatever it takes to achieve our objectives. - Team Oriented: We collaborate and support one another, recognizing that together, we can accomplish more. - Transparency: We communicate openly and honestly, fostering trust and informed decision-making. - Make Forward Progress: We believe in continuous improvement, making incremental strides toward our goals. - Resiliency: We embrace challenges and setbacks, learning from them and persevering with resilience. Our Perks: - Competitive Pay and Stock Options - Comprehensive Health, Dental, Vision, Disability, and Life Insurance - Retirement Benefit with Employer Match - Unlimited Paid Time Off - Office in the Loop with a Game Room and Gym - Access to Employee Workshops and Training on Financial Literacy, Empathy and Mental Health, Professional Development, and more - Free Subscription to Insight Timer, the World's #1 Meditation App for Sleep, Stress, and Anxiety If you require alternative methods of application or screening, please reach out directly to the employer to request accommodations, as Indeed is not responsible for the employer's application process.

Employment Type: Full-Time

Salary: $40000.00 - 140000.00 Per Year

Education Level: No formal educational credential