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Sr. Compliance Officer

Acorns

Acorns

Legal
Irvine, CA, USA · Remote
Posted on Wednesday, January 24, 2024

At Acorns we look after the financial best interest of the up-and-coming. We are innovators. We make bold decisions. We stay curious, inspiring one another to push past all previous thresholds of possibility. We are one team and are building a diverse community of team members, partners, and customers from all walks of life to foster creativity, challenge conventional thinking, and put the tools of wealth-making in everyone’s hands.

We are looking for missionaries who are rooted in purpose, to join our team. We can achieve our goals if we are a team of missionaries working toward a shared purpose and mission.

Our mission? With benevolence and courage, we look after the financial best interests of the up-and-coming; beginning with the empowering, proud step of micro-investing.

How do we accomplish our mission? Our values.

Lead With Heart

With compassion, integrity, and tenacity, inspire yourself and others to move past all previous thresholds of possibility

Make Bold Decisions

We are creating a new world. Be optimistic, adventurous, and courageous. Leap fearlessly into the future

Always Build Trust

Say what you mean, mean what you say, and do what you say you’re going to do. We are all owners. We are one team

Never Stop Growing

Change IS the constant. Stay hungry and curious. Be relentless in the pursuit of progress

Find a way

Never settle, no excuses, nothing is impossible. Just make it happen

Our values guide us, and our mission drives us.

Come join us and help deliver financial wellness for the whole family, creating compound growth at every life stage.


Senior Compliance Officer | Acorns

Acorns is seeking a Senior Compliance Officer to join our team. You must have the ability to evaluate risk and make decisions while meeting deadlines in a fast-paced environment.

The ideal candidate for this role should have a Bachelor’s degree, 7+ years experience with a Financial Services company, and active FINRA Series 7, 24, 63, and 65 (or 66) licenses. The candidate should also have a strong understanding of financial regulations while demonstrating the ability to work well with all levels of the organization. We’re looking for someone who is passionate about compliance and has the commitment to help us meet our goals.

With limited supervision, this role handles routine to moderately complex issues and combines analysis, wisdom, and experience to arrive at sound conclusions and make thorough recommendations and actionable plans to improve compliance processes.

This role has the option to be remote or based in our Irvine, CA, or New York, NY offices.

Key Responsibilities:

  • Draft and implement internal policies and procedures
  • Participate in the Compliance Department’s testing of supervisory controls, 3120 and 206 Testing Projects
  • Assist with reports summarizing the results of testing, including metrics and key benchmarks
  • Review marketing materials and communications for the business, to ensure consistency with regulatory guidelines and internal policies
  • Assist with reviewing and documenting Customer Complaints
  • Develop and implement training programs for employees on compliance issues
  • Investigate potential compliance issues and recommend solutions
  • Assist with regulatory inquiries and examinations
  • Work with all levels of the organization to ensure compliance
  • Maintain current knowledge of regulatory changes

Within 1 month, you will:

  • Become well-versed in the firm’s culture and product offerings and organizational structure by meeting with key partners and reviewing key documentation.
  • Complete Acorns’ best-in-class onboarding, Acorns’ Seedling Program
  • Participate in a virtual coffee session hosted by Acorns’ CEO, Noah Kerner
  • Attend your first community-wide virtual all-hands meeting

Within 3 months, you will:

  • Start planning strategic goals and objectives consistent with and in furtherance of the firm’s mission statement
  • Review your 30-60-90 day goals and accomplishments with your manager
  • Engage in Acorn’s Community & Heritage celebrations
  • Receive operational updates from our GoHenry & PixPay team members during Acorns’ quarterly global virtual all-hands session

Within 6 months, you will:

  • Be fully integrated into the compliance programOversee key strategic initiativesProvide subject matter expertise to key business partnersProactively work to identify and mitigate regulatory, legal, and reputational riskModel Acorns’ cultural principles to other team members and employees
  • Complete a Performance Development Check-in to align on Performance and Values Rating Trends

What you will bring to Acorns:

  • 7 or more years of applicable experience with a Financial Services organization
  • FINRA SIE, Series 7, 24, 63, and 65 (or 66) licenses required
  • Bachelor’s degree
  • Ability to work on multiple priorities and meet deadlines in a fast-paced environment
  • Excellent written, verbal, and communication skills
  • Highly effective problem solving, and critical thinking skills
  • Excellent planning, organizational, and analytical skills with attention to detail
  • Ability to evaluate risk and make decisions accordingly
  • Work independently or in a team environment, under tight deadlines
  • Hands-on experience supporting compliance programs
  • Thirst for delivering 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

You are not expected to have experience with all listed requirements aside from the identified licenses. If you feel passionate about Acorns' mission, vision, and values, please apply.

What we offer:

  • Competitive salary and stock options
  • A comprehensive benefits package to meet the needs of you and your family
  • Flexible work hours, location, and paid time off
  • 401k discretionary match
  • Monthly Acorns account contribution & GoHenry account for your family
  • Wellness Days - Company-wide quarterly days off to rest + recharge
  • Mindfulness, Mental Health, and Financial Wellness resources: Headspace, Ginger, and Addition Wealth are offered at no cost to you
  • Acorns Career Development Program (Monthly Acorns to Oaks training sessions, development plans, quarterly development check-ins, Cornerstone’s online training platform)
  • Roots Leadership Program for emerging leaders
  • Monthly community celebrations, events, panel discussions, and speakers
  • 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.

About Acorns:

Acorns is how everyday consumers save & invest for the long term. To date, customers have invested over $15 billion with Acorns, much of it in spare change. By putting the tools of wealth-making in everyone's hands, Acorns has become the largest subscription service in U.S. consumer finance, serving over 10 million everyday Americans. Customers get automated investing in diversified portfolios, a simple retirement product, a bank account that helps people spend less to invest more, and bonus investments from 20k brands. Plus, everyday Americans can easily invest in their kids and get money news they can use, all from the same app. From acorns, mighty oaks do grow!

Mission:

With benevolence and courage, we look after the financial best interests of the up-and-coming; beginning with the empowering step of micro-investing.

Values:

  • Lead With Heart
  • Make Bold Decisions
  • Always Build Trust
  • Never Stop Growing
  • Find a Way

Commitment to a diverse community:

Acorns is committed to building a diverse community of customers, partners, and team members. We believe that fostering diversity not only fuels creativity but also challenges conventional thinking and helps us properly represent the unique experience of the everyday consumer that we serve.

Compensation Information:

The pay range for this position at commencement of employment is expected to be between $115,000 and $130,000/year; however, base pay offered may vary depending on multiple individualized factors, including market location, job-related knowledge, skills, and experience. The total compensation package for this position may also include other elements, including a sign-on bonus, equity grants, and discretionary cash bonus awards in addition to a full range of medical, financial, and/or other benefits (including 401(k) eligibility and various paid time off benefits, such as vacation, sick time, and parental leave), dependent on the position offered. Details of participation in these benefit plans will be provided if an employee receives an offer of employment.

If hired, the employee will be in an “at-will position” and the Company reserves the right to modify base salary (as well as any other discretionary payment or compensation program) at any time, including for reasons related to individual performance, Company or individual department/team performance, and market factors.