Human Interest Advisors (“HIA”) is a Registered Investment Adviser registered with the SEC since June 2015 and is headquartered in San Francisco, California. HIA provides investment advisory services to the participants of 401(k) and 403(b) plans serviced by Human Interest Inc. As an investment advisor, HIA invests through a digital platform into mutual fund allocations that are recommended based upon participant risk profiles. In addition, HIA may act as a fiduciary to plans by selecting and recommending mutual funds under the Employee Retirement Income Security Act of 1974.

The Chief Compliance Officer of Human Interest Advisors is responsible for developing, implementing, and managing the day-to-day compliance program relating to Human Interest’s investment advisory business. Working with the Head of HIA and existing compliance personnel, the CCO will develop, implement and test internal controls, develop and maintain necessary policies and procedures, provide necessary training, and partner with the business across functions to ensure the company effectively manages risk related to its investment advisory business. This role will report to the Head of HIA.

What you get to do every day

• Working with the Head of HIA and HIA’s compliance personnel, the CCO has primary responsibility for the development, implementation, and maintenance of HIA’s SEC compliance program
• Drive the adoption of business practices and controls that meet or exceed relevant SEC regulations and industry best practices in light of HIA’s overall risk profile
• Ensure that HIA timely and comprehensively addresses relevant issues raised, directly or indirectly (i.e., as a agency priority) by the SEC
• Proactively identify potential areas of SEC compliance vulnerability and risk; develop and implement corrective action plans for resolution of issues
• Prepare and update all regulatory forms, file quarterly reports, and manage the review/approval of relevant advertising and marketing materials
• Evaluate current operational policies and procedures and execute program testing to ensure compliance
• Proactively identify opportunities to provide regular training and other information sharing methods to increase the company’s focus on SEC compliance issues 
• Build tactical and scalable compliance solutions for operational teams to manage ongoing tasks and minimize risk
• Design and maintain all necessary documentation and content
• Communicate progress and results to all relevant internal and external stakeholders
• Drive the internal annual review process
• Stay on top of SEC regulatory developments, state regulatory developments, industry trends, and product offerings and roadmaps to drive continuous improvements
• Effectively manage assigned resources, with an emphasis on employee development, and identify opportunities for growth and improvement
• Facilitate and manage technical projects, by gathering requirements, developing and tracking project milestones, estimating work efforts, and managing competing priorities
• Lead HIA’s response to regulatory inquiries
• Be a leader at the company who inspires confidence and helps foster a culture of compliance

What you bring to the role

• 12 years of SEC/RIA compliance experience, including 5 years of leading compliance teams
• Detailed knowledge of the Investment Advisers Act of 1940 and SEC rules and regulations applicable to robo-advisers and 401(k) retirement plans, including ERISA
• Exceptional organizational, project management, leadership, and communication skills; must be a self-starter and very detail-oriented
• Ability and willingness to function on a small and developing team in a fast-paced environment
• Prior experience building operational and regulatory compliance practices in investment advisory businesses
• Ability to manage multiple projects, set priorities, and drive execution in collaboration with stakeholders across the company
• Strong business and operations acumen, with ability to explain potential compliance issues to business partners and evaluate risk to the company
• Strong documentation skills and high level management reporting discipline
• High EQ and collaboration skills; good team player; able to work well and coordinate with team members in a high energy and fast paced environment
• Willingness to roll up your sleeves and take on tasks both big and small 
• Strong sense of ownership, desire to make a cross-functional impact, and eagerness to learn

Please feel free to apply to this position even if you do not meet 100% of the requirements listed above.

Why you will love working at Human Interest

Mission - Highly collaborative startup dedicated to supporting employee engagement and growth. It’s an opportunity to help solve one of the biggest unsolved problems in America: saving for retirement.

Culture - Our operating principles define how we come together as a team to do our work. They reflect Human Interest’s unique view on what’s important and what’s right. Documenting this core aspect of our culture helps employees make good decisions on their own. It also helps candidates considering career opportunities critically evaluate whether they will thrive at Human Interest. 

• Customer obsession
• Long-term orientation
• Autonomous and accountable teams
• An escalating bar for talent and performance 
• Fundamental optimism 

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Compensation - The salary range target for the role seniority described in this job description is $165,000 - $185,000. Final offer amounts depend on multiple factors including candidate experience and expertise, geographic location, compensation/equity mix, and market data. This position may also be eligible for additional incentives such as equity awards, short-term incentives, or sales compensation.

Benefits - 

• A great 401(k) plan: Our own! Our 401(k) includes a dollar-for-dollar employer match up to 4% of compensation (immediately vested) and $0 plan fees
• Top-of-the-line health plans, as well as dental and vision insurance
• Generous PTO and parental leave policies
• Lyra - Enhanced Mental Heath Support for Employees and dependents
• Carrot - Fertility healthcare and family forming benefits
• Candidly - Student loan resource to help you and your family plan, borrow, and repay student debt
• Monthly work-from-home stipend; annual wellness stipend
• Employee Resource Groups including Veterans, Lift Ev’ry Voice, Pride, LatinX, Families, and Women in Tech
• Fun online and regional events and celebrations and department and company offsites
• The vast majority of our positions can be 100% remote

About Human Interest: 

We’re a high-growth, Series D-funded company that’s changing the retirement industry. Named one of America’s Best Startup Employers by Forbes, one of the Best Places to Work by the San Francisco Business Times, and aTop Company by Y Combinator, we’ve raised $337M and are backed by leading investors, including TPG (The Rise Fund), SoftBank, Glynn Capital, NewView Capital, USVP, Wing, Uncork, and others.

Human Interest is an equal opportunity employer. All applicants will receive consideration for employment without regard to race, color, religion, sex, gender, gender identity or expression, sexual orientation, national origin, genetics, disability, age, veteran or military status, pregnancy, or any other characteristics protected under federal, state, or local laws.

Human Interest employees must adhere to the Company’s security policies and Code of Ethics.

Please note Human Interest does not accept unsolicited resumes from any source other than directly from candidates. We will not consider resumes from vendors including and without limitation search firms, staffing agencies, fee-based referral services, and recruiting agencies. Pursuant to the San Francisco Fair Chance Ordinance, we will consider employment-qualified applicants with arrest and conviction records. We comply with CCPA guidelines. See more: https://humaninterest.com/disclosures