Director of ComplianceActive$215K–$247K
The opportunity
The role requires a talented, passionate, and experienced compliance professional to join Wealthfront’s Compliance Team, collaborating extensively within our Legal and Compliance function and cross-functionally with departments including Communications, Design, Engineering, Marketing, and Product.
What you'll do
Lead the compliance risk management team, ensuring compliant operations,: products, and services across the Company's various business lines and regulated entities.
Support the Chief Compliance Officer in designing, executing, and managing: the enterprise-wide compliance and ethics program. Supervise and mentor Compliance staff, design training initiatives, and drive an organizational culture of ethics and accountability.
Lead the Governance, Risk, and Compliance (“GRC”) program for effective: regulatory risk management, including developing and maintaining relevant process, risk, and control documentation.
Administer the Company’s policy governance program, which encompasses the: development, publication, and maintenance of applicable policies and procedures for the Company and its regulated entities.
Develop, implement, and maintain a comprehensive AI governance framework to: ensure the safe, ethical, and legally compliant deployment of artificial intelligence systems.
Plan, facilitate, and execute all necessary monitoring, testing, periodic: risk assessments, executive reporting functions, and certification processes for the broker-dealer’s supervisory policies, ensuring compliance with relevant securities laws and regulations.
What they're looking for
- + years of professional experience, including direct experience as a: compliance professional at a broker-dealer or investment advisory firm
- FINRA Series 7 and 24 or Series 14; willingness to obtain other registrations and/or licenses as necessary
