Sr. Manager, Marketing Compliance

h2 strong About Betterment /strong /h2 p a href= http://www.betterment.com/ Betterment /a is a leading, technology-driven financial services company that offers investing, savings and retirement solutions for retail investors and investment advisors as well as financial wellness solutions, including a 401(k) for small and medium-sized businesses. Our team is passionate about our mission, to empower people to build wealth with confidence and ease. nbsp; We’re headquartered in NYC and offer hybrid NY-based positions (four days/ week in-office, with no required office days during the summer and winter holidays). /p h2 strong About the Role /strong /h2 p You are eager to join a dynamic team to help manage the compliance function at one of the most innovative registered investment advisers and broker-dealers. You’re thorough, always ask questions, and are detail oriented. You thrive in a fast paced environment, are able to prioritize, and have an eye towards continuous improvement. You have significant experience with SEC and FINRA marketing rules and have expertise in marketing review. You have strong management skills and are ready to manage a team of two. You think outside the box and find working across the business to find solutions fun! You are ready to roll up your sleeves and get to work in an exciting work environment! /p p This role is based out of our NYC office. Below we ve reflected the base salary range for this position. Actual salaries may vary depending on factors including but not limited to location, experience, and performance. The range listed is just one component of Betterment’s total compensation package for employees. nbsp; /p ul li New York City: $160,000 - $180,000 /li /ul p This job may also be eligible for variable compensation in the form of a company incentive bonus. nbsp; /p h2 strong A Day in the Life /strong /h2 ul li Manage and develop two (2) direct reports, conducting daily marketing review and other program tasks /li li Manage and oversee the daily review of marketing materials and social media related to investment advisory and broker-dealer products to ensure adherence to SEC Rule 206(4)-1, FINRA 2210, Reg DD and other applicable regulations /li li Partner and collaborate with the marketing team, nbsp; including advising on initiatives to help achieve business goals /li li Manage our marketing review tool, including the tools use of artificial intelligence /li li Identify and implement marketing program enhancements /li li Review marketing-related vendors including promoters and influencers as part of our third party risk management program /li li Execute the Compliance program for his or her area of responsibility, including promulgating policies and procedures, conducting monitoring, testing, and assessments, and providing training /li li And, so much more! /li /ul h2 strong What We’re Looking For /strong /h2 ul li Expertise in SEC Rule 206(4)-1 and and FINRA Rule 2210, including rules related to testimonials/endorsements and performance marketing. /li li Ability to organize and prioritize workflow and assignments in a deadline-oriented environment /li li Ability to multi-task and work within tight deadlines /li li Management experience nbsp; /li li A meticulous attention to detail /li li Desire to work in a fast paced and changing environment /li li Excellent communication and organizational skills /li li Ability to work well across various business units /li li Strong intellectual curiosity /li li Series 24 required (or must obtain) /li /ul div class= content-conclusion h2 strong Join a team built on these core values /strong /h2 p strong We change lives /strong /p p Be a part of a community of innovators working to transform financial outcomes for real people. Your work will make an impact, always laddering up to our mission; to empower people to build wealth with confidence and ease strong . /strong /p p strong We set audacious goals /strong /p p We set them for the company, our customers, and ourselves, and we won’t stop until we reach them. We don’t just show up; we give our all, then celebrate our wins. /p p strong We value all perspectives /strong /p p When we collaborate, we re at our best. We believe diverse perspectives lead to better outcomes and strive to uphold our supportive and inclusive community. /p p strong We simplify financial services /strong /p p We’re financial services pioneers, always finding new ways to improve, optimize, and enhance. Constant improvement is in our DNA. /p p nbsp; strong Our Commitment to Your Total Well-being: /strong /p ul li strong We offer a competitive suite of benefits /strong , including medical, dental, and vision coverage; life and AD amp;D insurance; short- and long-term disability; infertility support and WPATH-aligned transgender health benefits; an Employee Assistance Program (EAP); transit benefits and FSA and HSA options /li li strong Ownership: /strong Equity for all employees, including new hire and refresher grants. /li li strong Time: /strong Flexible paid time off, paid parental leave, and a fully paid four-week sabbatical in your sixth year. /li li strong Growth: /strong Company-paid professional coaching for all employees. /li li strong Wealth: /strong Day-one 401(k) match plus matching on qualified student loan payments. /li /ul h2 strong What happens next /strong /h2 p We’ll take a few weeks to review all applications. If we’d like to spend more time with you, we’ll reach out to arrange next steps, which will include 3-4 sets of meetings with your future colleagues. /p p In the interview process, we’ll look to learn more about your skills, experiences, capabilities, and motivators. Many of our questions will be aimed at understanding how you might operate here at Betterment. Depending on the role, we may ask you to complete a case study exercise or technical assessments, as we want to collect a robust set of data points to better inform our decisions. /p p On average, it takes us around 3-5 weeks to make a hiring decision, depending on your availability and sense of urgency. As a best practice, we aim to interview at least 2-3 final round candidates before making a hiring decision. Please note that, as we usually receive an overwhelming number of nbsp; applications for open positions, we’re unable to offer individual feedback during the interview process. nbsp; /p p We recognize that interviewing for a new role is a big deal. We appreciate you considering Betterment as the next step in your career, and our Recruiting Team is here to support and advocate for you through the interview process! /p p em Betterment is dedicated to providing accommodations to candidates upon request. If you need accommodations at any point throughout the interview process, please reach out to your recruiter. nbsp; /em /p p em Please note that in any materials you submit, you may redact or remove age-identifying information such as age, date of birth, or dates of school attendance or graduation. You will not be penalized for redacting or removing this information. /em /p p strong Come join us! nbsp; /strong /p p em We’re an equal opportunity employer and comply with all applicable federal, state, and local fair employment practices laws. We strictly prohibit and do not tolerate discrimination against employees, applicants, or any other covered persons because of race, color, religion, creed, national origin or ancestry, ethnicity, sex, gender (including gender nonconformity and status as a transgender or transsexual individual), sexual orientation, marital status, age, physical or mental disability, citizenship, past, current or prospective service in the uniformed services, predisposing genetic characteristic, domestic violence victim status, arrest records, or any other characteristic protected under applicable federal, state or local law. /em /p /div