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Stash
Stash
201 – 500 Angajați
Sponsor pentru viza H1BB2CFinanțeFintech
Stash este o companie de tehnologie financiară axată pe piața din SUA, fondată în 2015, care combină investițiile și serviciile bancare digitale într-o singură platformă pentru consumatori. Serviciile sale includ investiții în acțiuni și ETF-uri, conturi individuale de brokeraj, conturi de pensie și conturi de custodie, precum și servicii bancare mobile prin intermediul cardului Stock-Back®, care oferă utilizatorilor recompense sub formă de acțiuni asociate achizițiilor eligibile. Stash sprijină, de asemenea, educația financiară prin Stash101 și se concentrează pe ajutarea clienților să își formeze obiceiuri de investiții pe termen lung, bazate pe interesele lor. Compania deservește consumatorii printr-o echipă de 201–500 de angajați și activează în domeniile financiar, fintech și al serviciilor financiare oferite direct consumatorilor.
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Locurile de muncă ale companiei

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.

USStatele Unite ale AmericiiNYNew York
95.000 $ – 115.000 $ / an
HibridNormă întreagăSeniorLimbă Obligatorie: englezăConformitate
SQL

Descriere

  • 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.

Cerințe

  • 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.

Beneficii

  • 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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