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Stash
Stash
201 – 500 Xodimlar
H1B vizasi homiysiB2CFintexMoliya
Stash — 2015-yilda tashkil etilgan, investitsiya va raqamli bank xizmatlarini yagona iste’molchilar platformasida birlashtiradigan hamda AQSh bozoriga yo‘naltirilgan fintech kompaniyasi. Uning xizmatlariga aksiyalar va ETF fondlariga investitsiya qilish, individual brokerlik hisoblari, pensiya va vasiylik hisoblari, shuningdek, mos keladigan xaridlar uchun aksiyalar ko‘rinishida mukofot beruvchi Stock-Back® Card orqali mobil bank xizmatlari kiradi. Stash, shuningdek, Stash101 orqali moliyaviy ta’limni qo‘llab-quvvatlaydi va mijozlarga o‘z qiziqishlari asosida uzoq muddatli investitsiya odatlarini shakllantirishga yordam berishga e’tibor qaratadi. Kompaniya 201–500 xodimdan iborat jamoasi orqali iste’molchilarga xizmat ko‘rsatadi hamda moliya, fintech va iste’molchilarga to‘g‘ridan-to‘g‘ri taqdim etiladigan moliyaviy xizmatlar sohalarida faoliyat yuritadi.
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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.

USAmerika Qo‘shma ShtatlariNYNyu-York
95 000 $ – 115 000 $ / yil
GibridTo‘liq stavkaSeniorTalab Qilinadigan Til: inglizchaMuvofiqlik
SQL

Tavsif

  • 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.

Talablar

  • 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.

Imtiyozlar

  • 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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