What are the responsibilities and job description for the Sr. Compliance Officer position at Harvest by Acorns?
At Acorns, our mission is to look after the financial best interests of the up-and-coming, beginning with the empowering, proud step of micro-investing. How do we accomplish our mission? Our values.
Lead With Heart - With compassion, integrity, and tenacity, inspire yourself and others to move past all previous thresholds of possibility
Make Bold Decisions - We are creating a new world. Be optimistic, adventurous, and courageous. Leap fearlessly into the future
Always Build Trust - Say what you mean, mean what you say, and do what you say you’re going to do. We are all owners. We are one team
Never Stop Growing - Change IS the constant. Stay hungry and curious. Be relentless in the pursuit of progress
Find a way - Never settle, no excuses, nothing is impossible. Just make it happen
Our values guide us, and our mission drives us. Come join us and help deliver financial wellness for the whole family, putting the tools of wealth-making into everyone’s hands.
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Sr. Compliance Officer | Acorns
Acorns is seeking a Senior Compliance Officer to lead the charge in navigating the complex regulatory landscape of the fintech world. In this role, you will ensure our activities align perfectly with internal standards and external regulations, protecting our mission and our customers. We are looking for a principled, detail-oriented expert who can evaluate risk, make decisive recommendations, and collaborate across all levels of the organization to foster a culture of integrity.
Acorns is a remote-first organization, offering the flexibility to work remotely while providing optional access to office space in Irvine, CA.
What You Will Do At Acorns
What We Offer
Acorns is a financial wellness app that helps everyday people and families save and invest money for the long term. Since 2014, Acorns has grown into a global company with multiple life-stage products serving the needs of kids, teens, adults, and parents. Named one of Time’s “World’s Best Brands of 2024,” Acorns has helped over 14 million people save & invest over $25 billion dollars, much of it from spare change and small amounts.
Compensation Information
The pay range for this position at commencement of employment is expected to be between $128,000 and $138,000/year; however, base pay offered may vary depending on multiple individualized factors, including market location, job-related knowledge, skills, and experience. The total compensation package for this position may also include other elements, including equity grants, and discretionary cash bonus awards in addition to a full range of medical, financial, and/or other benefits (including 401(k) eligibility and various paid time off benefits, such as vacation, sick time, and parental leave), dependent on the position offered. Details of participation in these benefit plans will be provided if an employee receives an offer of employment.
If hired, employee will be in an “at-will position” and the Company reserves the right to modify base salary (as well as any other discretionary payment or compensation program) at any time, including for reasons related to individual performance, Company or individual department/team performance, and market factors.
Work Authorization
Acorns participates in E-Verify to confirm the employment eligibility of all newly hired employees. For more information about E-Verify, please visit www.e-verify.gov
Lead With Heart - With compassion, integrity, and tenacity, inspire yourself and others to move past all previous thresholds of possibility
Make Bold Decisions - We are creating a new world. Be optimistic, adventurous, and courageous. Leap fearlessly into the future
Always Build Trust - Say what you mean, mean what you say, and do what you say you’re going to do. We are all owners. We are one team
Never Stop Growing - Change IS the constant. Stay hungry and curious. Be relentless in the pursuit of progress
Find a way - Never settle, no excuses, nothing is impossible. Just make it happen
Our values guide us, and our mission drives us. Come join us and help deliver financial wellness for the whole family, putting the tools of wealth-making into everyone’s hands.
_______________________________________________________________________
Sr. Compliance Officer | Acorns
Acorns is seeking a Senior Compliance Officer to lead the charge in navigating the complex regulatory landscape of the fintech world. In this role, you will ensure our activities align perfectly with internal standards and external regulations, protecting our mission and our customers. We are looking for a principled, detail-oriented expert who can evaluate risk, make decisive recommendations, and collaborate across all levels of the organization to foster a culture of integrity.
Acorns is a remote-first organization, offering the flexibility to work remotely while providing optional access to office space in Irvine, CA.
What You Will Do At Acorns
- Design & Implement: Create robust broker-dealer and investment advisory written procedures and SOPs that align with evolving regulatory requirements.
- Review & Refine: Audit public communications and marketing materials to ensure they are consistent with regulatory guidelines and internal policies.
- Voice of the Customer: Review customer communications to detect, identify, and document customer complaints, ensuring every concern is addressed with integrity.
- Educate: Lead regulatory compliance training for registered associates to promote awareness and adherence to best practices.
- Strategic Advisory: Act as a subject matter expert for management and key stakeholders on all compliance-related matters.
- Regulatory Liaison: Coordinate and assist with regulatory inquiries and examinations from governing bodies.
- Risk Mitigation: Lead comprehensive risk assessments to investigate, identify, and address potential compliance issues, recommending actionable solutions.
- Collaborate: Partner with other compliance officers on various team projects and strategic initiatives.
- Stay Ahead: Maintain current, expert-level knowledge of regulatory changes to keep Acorns ahead of the curve.
- 7 years experience with a Financial Services organization
- FINRA SIE,Series 7, 24, 63 and 65 (or 66) licenses required
- Proven experience in financial compliance, specifically with broker-dealer and investment advisory regulations.
- Exceptional ability to evaluate risk and make sound decisions as an individual contributor or part of a fast-paced team.
- Strong communication and interpersonal skills, with the ability to translate complex regulations into actionable business plans.
- Experience with regulatory inquiries and a deep understanding of the current financial regulatory environment.
- Hunger to deliver game-changing products.
- Exceptional drive and precision in delivery.
- A belief that your work is tied to your life's mission.
- Optimistic about the potential of societal change.
What We Offer
- Competitive salary and stock options
- A comprehensive benefits package for you and your family
- Flexible work location, hours, and paid time off
- 401(k) matching
- Monthly Acorns account contribution & GoHenry account for your family
- Mindfulness and Financial Wellness resources, Headspace and Addition Wealth
- Acorns Career Development Program (Ongoing training sessions, development plans, development check-ins, Cornerstone’s online training platform)
- Roots Leadership Program for Emerging Leaders
- Community week onsite gatherings and various virtual events
- Talented and motivated team members who care deeply about one another, our mission, and our customers.
- The rare opportunity to create a new world. We inspire one another every day to do meaningful work that solves big societal challenges.
Acorns is a financial wellness app that helps everyday people and families save and invest money for the long term. Since 2014, Acorns has grown into a global company with multiple life-stage products serving the needs of kids, teens, adults, and parents. Named one of Time’s “World’s Best Brands of 2024,” Acorns has helped over 14 million people save & invest over $25 billion dollars, much of it from spare change and small amounts.
Compensation Information
The pay range for this position at commencement of employment is expected to be between $128,000 and $138,000/year; however, base pay offered may vary depending on multiple individualized factors, including market location, job-related knowledge, skills, and experience. The total compensation package for this position may also include other elements, including equity grants, and discretionary cash bonus awards in addition to a full range of medical, financial, and/or other benefits (including 401(k) eligibility and various paid time off benefits, such as vacation, sick time, and parental leave), dependent on the position offered. Details of participation in these benefit plans will be provided if an employee receives an offer of employment.
If hired, employee will be in an “at-will position” and the Company reserves the right to modify base salary (as well as any other discretionary payment or compensation program) at any time, including for reasons related to individual performance, Company or individual department/team performance, and market factors.
Work Authorization
Acorns participates in E-Verify to confirm the employment eligibility of all newly hired employees. For more information about E-Verify, please visit www.e-verify.gov
Salary : $128,000 - $138,000