Director of Compliance

About the role

Wealthfront is seeking a seasoned compliance leader to oversee our risk management and ethical operations. This role is critical in ensuring our financial products and services adhere to all regulatory standards while fostering a culture of integrity. You will collaborate across departments to integrate compliance into our business strategy.

Key facts

What you'll do

• Lead the team responsible for compliance risk management, ensuring all business lines and regulated entities operate within legal frameworks.
• Assist the Chief Compliance Officer in developing and executing the company's ethics and compliance program, including staff supervision and training.
• Manage the Governance, Risk, and Compliance program to effectively handle regulatory risks and maintain process documentation.
• Oversee the company's policy management system, including the creation and upkeep of procedures.
• Establish and maintain a framework for the responsible and compliant use of artificial intelligence systems.
• Plan and execute monitoring, testing, risk assessments, and reporting for broker-dealer supervisory policies.
• Direct the annual control evaluation and reporting for regulated entities, including the broker-dealer and investment advisers.
• Partner with legal counsel to manage regulatory changes, analyzing new rules and developing compliant solutions.
• Oversee compliance for the Wealthfront Treasury Money Market Fund (WLTXX).
• Improve record-keeping and organizational processes for efficient handling of regulatory inquiries.
• Ensure accurate and timely submission of regulatory filings such as ADV Part 1, ADV Part 2A, ADV Part 2B, Form BD, 17H, and 13F.

Requirements

• A minimum of 10 years of professional experience, with direct compliance experience at a broker-dealer or investment advisory firm.
• Hold FINRA Series 7 and 24, or Series 14. You must be willing to acquire any other necessary licenses.

Nice to have

• Experience with mutual funds, money market funds, ETFs, margin products, and 529 plans.
• General familiarity with investment advisory, financial planning, banking, and insurance sectors.

Skills & tools

• Strong understanding of FINRA, MSRB, and SEC rules, particularly concerning public communications and record-keeping.
• Excellent communication and influencing skills, capable of driving positive change across all organizational levels.
• Superior organizational abilities and a proven track record of meeting deadlines in a fast-paced environment.
• Analytical skills for problem identification, quantification, and solution development.
• Interest in how technology can improve business processes.

Practical notes

• Wealthfront is an equal opportunity employer.
• Please review our candidate privacy notice before applying.