LogoFresh Jobs Ahead
Stash
Stash
201 – 500 Darbuotojai
H1B vizos rėmėjasB2CFinansaiFintech
„Stash“ yra į JAV orientuota finansinių technologijų bendrovė, įkurta 2015 m., jungianti investavimą ir skaitmeninę bankininkystę vienoje vartotojams skirtoje platformoje. Jos paslaugos apima investavimą į akcijas ir ETF, individualias tarpininkavimo sąskaitas, pensijų ir globos sąskaitas bei mobiliąją bankininkystę naudojantis „Stock-Back®“ kortele, kuri suteikia naudotojams akcijų premijas už tinkamus pirkinius. „Stash“ taip pat skatina finansinį švietimą per „Stash101“ ir siekia padėti klientams ugdyti ilgalaikio investavimo įpročius, susijusius su jų interesais. Bendrovė aptarnauja vartotojus, pasitelkdama 201–500 darbuotojų komandą, ir veikia finansų, finansinių technologijų bei tiesiogiai vartotojams teikiamų finansinių paslaugų srityse.
LinkedIn
Darbai įmonėje

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.

USJungtinės ValstijosNYNiujorkas
95 000 $ – 115 000 $ / metai
HibridinisVisas etatasVyresnysis specialistasPrivaloma Kalba: anglųAtitiktis
SQL

Aprašymas

  • 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.

Reikalavimai

  • 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.

Privalumai

  • 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.

Susiję darbai

Ramp

Senior Compliance AI Innovation Strategist

Ramp
501 – 1 000 Darbuotojai
H1B vizos rėmėjasKonsultavimasLogistikaRinkodara
USJungtinės ValstijosNYNiujorkas
160 000 $ – 220 000 $ / metai
HibridinisVisas etatasVyresnysis specialistasPrivaloma Kalba: anglųAtitiktis

Lead the evaluation, labeling, and governance of AI used in Ramp’s financial crime compliance systems. Work with engineers and compliance teams across transaction monitoring, sanctions, fraud, and enhanced due diligence.

Atidaryti