Sr. Manager, Marketing Compliance

About the Role

At Betterment, we are a leading, technology-driven financial services company dedicated to empowering people to build wealth with confidence and ease. We serve retail investors and investment advisors, offering innovative solutions that include investing, savings, retirement planning, and financial wellness programs such as 401(k) plans for small and medium-sized businesses. Headquartered in New York City, we embrace a hybrid work model, requiring four days per week in the office while providing flexibility during summer and winter holidays.

The Sr. Manager, Marketing Compliance role is critical to maintaining the integrity and regulatory compliance of our marketing and advisory activities. You will join a dynamic team responsible for overseeing all marketing materials and ensuring strict adherence to regulatory standards. This position requires a detail-oriented professional who thrives in a fast-paced environment and is passionate about continuous improvement. You will manage a small team, lead complex reviews, and collaborate across departments to protect our brand and ensure full regulatory compliance.

This role is based in our New York City office. The base salary range for this position is $160,000 - $180,000, and the role may be eligible for variable compensation through a company incentive bonus.

What You'll Do

In this leadership position, you will be responsible for managing the compliance lifecycle of our marketing activities, ensuring that all client-facing materials meet regulatory requirements. Your daily responsibilities will include:

• Team Leadership: Manage and develop two (2) direct reports, providing guidance, feedback, and career development. You will oversee daily operations and ensure the team meets compliance objectives efficiently.
• Regulatory Oversight: Manage and oversee the daily review of all marketing materials and social media content related to investment advisory and broker-dealer products. This includes ensuring strict adherence to SEC Rule 206(4)-1, FINRA Rule 2210, Reg DD, and other applicable regulations.
• Cross-Functional Collaboration: Partner closely with the marketing team to advise on compliance considerations for new initiatives, ensuring business goals are met without compromising regulatory standards.
• Technology Management: Manage our marketing review toolstack, including the integration and oversight of artificial intelligence tools used in content review processes.
• Program Enhancement: Identify opportunities to improve marketing compliance processes and implement enhancements that increase efficiency and reduce risk.
• Third-Party Risk Management: Review marketing-related vendors, including promoters and influencers, as part of our third-party risk management program to ensure alignment with regulatory expectations.
• Compliance Execution: Execute the full compliance program for your area of responsibility, including developing policies and procedures, conducting ongoing monitoring, testing, and assessments, and delivering compliance training to relevant stakeholders.

Requirements

To succeed in this role, you must possess a deep understanding of financial services marketing regulations and demonstrate the ability to apply them in a practical, fast-paced environment. The ideal candidate will have the following qualifications:

• Regulatory Expertise: Demonstrated expertise in SEC Rule 206(4)-1 and FINRA Rule 2210, with a strong focus on rules governing testimonials, endorsements, and performance marketing.
• Organizational Skills: Proven ability to organize and prioritize multiple assignments in a deadline-driven environment while maintaining accuracy and attention to detail.
• Multitasking Capabilities: Ability to manage competing priorities and work effectively under tight deadlines without compromising quality.
• Leadership Experience: Previous management experience leading a compliance or regulatory team.
• Detail-Oriented Mindset: Meticulous attention to detail to ensure all marketing materials are compliant and accurate.
• Adaptability: Strong desire to thrive in a fast-paced, evolving environment where priorities may shift quickly.
• Communication Skills: Excellent written and verbal communication skills, with the ability to convey complex regulatory concepts to both technical and non-technical audiences.
• Collaboration: Ability to work effectively across various business units, including marketing, legal, and product teams.
• Intellectual Curiosity: Strong intellectual curiosity and a commitment to staying current on regulatory changes and industry best practices.
• Professional Certification: Series 24 license required, or a plan to obtain it within a reasonable timeframe.

Join a Team Built on These Core Values

At Betterment, we are committed to transforming financial outcomes for real people. We believe that our work changes lives by empowering individuals to build wealth with confidence and ease. As a team built on innovation and integrity, we set audacious goals and give our all to achieve them - celebrating every win along the way. We value all perspectives and strive to uphold inclusion in all we do, knowing that diverse thinking leads to better outcomes.

If you are passionate about compliance, financial services, and making a meaningful impact, we invite you to join us in shaping the future of financial wellness.