Sr. Manager, Compliance

FINRA Series 7 and 24 required. Series 65 or 66 license or obtain it within the first 90 days. 7+ years of compliance experience, SEC Registered Investment Adviser or Broker Dealer. BS / BA Degree or equivalent. Experience working with SEC and FINRA rules and regulations, specifically the SEC Marketing Rule and FINRA Rule 2210. Prior work experience with the SEC or FINRA is highly desirable. At least 2+ years of experience managing and developing team members. Demonstrated experience motivating, supporting, and developing team members. Ability to align compliance strategy with organizational goals. Strong ability to communicate compliance expectations and initiatives, clearly and effectively. Passion for Acorns’ mission and a belief in the potential for societal change through innovative financial solutions.

Modify, update, and implement investment adviser and broker-dealer written policies and procedures. Responsible for the annual review and refresh of the compliance department's Standard Operating Procedures (SOPs). Identify, prioritize, and mitigate investment adviser and broker-dealer risks. Assist the CCO with SEC and FINRA examinations, inquiries, and requests. Collaborate with key business partners such as Legal, Marketing, Product, Support, and Invest Operations. Support day-to-day compliance activities, including review of customer complaints and marketing materials. Develop risk management strategies and contribute to strategic compliance goals. Manage a small team of direct reports, providing guidance and mentorship. Provide compliance insights to CCO, CEO, and other key stakeholders. Serve as a role model by embodying and promoting the firm's cultural principles.