National Employee Health and Benefits Compliance Consultant
Marsh McLennanAdvise Marsh McLennan Agency clients on U.S. employee health and benefits compliance. Support compliance education, training, research, and client presentations.
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Stash is a U.S.-focused fintech company founded in 2015 that combines investing and digital banking in one consumer platform. Its services include stock and ETF investing, individual brokerage accounts, retirement and custodial accounts, and mobile banking through the Stock-Back® Card, which gives users stock rewards tied to eligible purchases. Stash also supports financial education through Stash101 and focuses on helping customers build long-term investing habits around their interests. The company serves consumers through a team of 201–500 employees and operates across finance, fintech, and direct-to-consumer financial services.
Senior Associate, Broker-Dealer Compliance at Stash
Support compliance across Stash’s investing and banking operations. Monitor broker-dealer controls, coordinate FINRA responses, and advise on customer disputes.
Description
- Report to the Vice President of Broker-Dealer Compliance.
- Partner with teams across the company to support compliance with applicable federal laws and regulations.
- Advise Customer Experience and Operations teams on unique customer disputes and inquiries as they arise.
- Coordinate responses to FINRA filings, regulatory exams, and customer complaint inquiries across Stash entities.
- Monitor and test Stash Capital policies and procedures to assess end-to-end controls for trading, money movement, and internal operations.
- Escalate systemic issues raised by Customer Experience or other internal stakeholders to senior management.
Requirements
- Bring one to three years of relevant experience, including compliance exposure to retail broker-dealer operations, retail investment adviser operations, or consumer banking.
- Know relevant broker-dealer and investment adviser laws and regulations, including FINRA rules and the Investment Advisers Act of 1940.
- Adapt to new information and develop customer-focused responses in ambiguous situations.
- Demonstrate strong attention to detail, analytical ability, and sound judgment.
- Have strong analysis and editing skills.
- Hold an active FINRA Series 7 license.
- Compliance testing experience is preferred.
- Experience with Cursor or ChatGPT, Looker, SQL, or other analytical platforms is preferred.
Benefits
- Total rewards package including salary, equity, and health care benefits.
- Complimentary Stash+ account subscription.
- Hybrid work policy with flexibility to work from home.
- Flexible paid time off.
- Stipend for work-from-home equipment.
- Home internet subsidy.
- Paid parental leave for birth and non-birth parents, with primary and secondary offerings.
- Enhanced health and wellness benefits through One Medical, Gympass, and Maven Health.
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