Compliance Manager

About Betterment

Betterment is a leading, technology-driven financial services company that offers investing and retirement solutions for retail investors and investment advisors as well as financial wellness solutions, including a 401(k) for small and medium-sized businesses.
Our team is passionate about our mission: making people's lives better.
We're headquartered in NYC and offer hybrid NY-based positions (three days/ week in-office).


About the role

You are eager to join a dynamic team at one of the most innovative registered investment advisers and broker-dealers.
You will be a key member of the team by managing and overseeing key processes to comply with marketing requirements (RIA and BD) and support our customer service (CX) teams, including our investment adviser representatives that provide advice to Betterment's premium client base.


We need someone who is thorough, intellectually curious and detail oriented.
You thrive in a fast paced environment, are able to prioritize, and have an eye towards creating efficiencies.
You have significant experience with SEC and FINRA marketing rules and have expertise in rules related to testimonials, endorsements and social media.
You think outside the box and find working across the business to find solutions fun!
You are ready to roll up your sleeves and get to work in the most exciting work environment there is!


This role is based out of our NYC office.
Below we've reflected the base salary range we would offer for this position.
Actual salaries may vary depending on factors including but not limited experience and performance.
The range listed is just one component of Betterment's total compensation package for employees.

New York City: $130,000 - $153,000 We offer a competitive equity package, health, dental and vision benefits, and a 401(k) offering with employer match as well as flexible PTO policy.
This job is eligible for variable compensation in the form of a discretionary company incentive bonus.

A day in the life Manage and oversee key elements of our Compliance Marketing program (e.g., adherence to promoter, testimonial, and endorsement requirements) to ensure compliance with SEC Rule 206(4)-1, FINRA Rule 2210, and other applicable regulations Create efficiencies and streamline our marketing review process and oversight using technology Lead and optimize the compliance program for our Customer Support and Investment Adviser Representative teams Develop training and education Manage and oversee the implementation of and updates to policies and procedures Conduct monitoring and testing And so much more!
What we're looking for Expertise in SEC Rule 206(4)-1 including those related to testimonials/endorsements and social media Experience with building marketing compliance programs, and familiarity with Red Oak is a plus Strong organizational skills with an ability to set and achieve deadlines in a fast-paced environment.
Proactively takes initiative without requiring direction A meticulous attention to detail Excellent communication skills Ability to work well across various business units Strong intellectual curiosity Series 24 preferred What being at Betterment means for you We change lives

Join a community of innovators working to transform financial outcomes for real people.
Your work will make an impact, always laddering up to our mission: making people's lives better.


We set audacious goals

We set them for the company, our customers, and ourselves-and we won't stop until we reach them.
We don't just show up; we give our all, then celebrate our wins.


We value all perspectives

When we collaborate, we're at our best.
We believe diverse perspectives lead to better outcomes and strive to uphold our supportive and inclusive community.


We invest in you with: A competitive suite of benefits, including: medical, dental, and vision insurance; life and AD&D insurance; STD and LTD benefits, including infertility support and World Professional Association for Transgender Health approved benefits; and generous parental leave.
Flexible paid time off (and encouragement to use it!)
Meaningful opportunity for community building through our 7 Employee Resource Groups Empowerment to own and lead change and affect the business Dedicated professional development opportunities Lunch from our in-house chef three days a week at our NYC headquarters What happens next

We'll take a few weeks to review all applications.
If we'd like to spend more time with you, we'll reach out to arrange next steps, which will include 3-4 sets of meetings with your future colleagues.


In the interview process, we'll look to learn more about your skills, experiences, capabilities, and motivators.
Many of our questions will be aimed at understanding how you might operate here at Betterment.
Depending on the role, we may ask you to complete a case study exercise or technical assessments, as we want to collect a robust set of data points to better inform our decisions.


On average, it takes us around 3-5 weeks to make a hiring decision, depending on your availability and sense of urgency.
As a best practice, we aim to interview at least 2-3 final round candidates before making a hiring decision.
Please note that, as we usually receive an overwhelming number of applications for open positions, we're unable to offer individual feedback during the interview process.


We recognize that interviewing for a new role is a big deal.
We appreciate you considering Betterment as the next step in your career, and our Recruiting Team is here to support and advocate for you through the interview process!


Betterment is dedicated to providing accommodations to candidates upon request.
If you need accommodations at any point throughout the interview process, please reach out to your recruiter.


Please note that in any materials you submit, you may redact or remove age-identifying information such as age, date of birth, or dates of school attendance or graduation.
You will not be penalized for redacting or removing this information.


Come join us!


We're an equal opportunity employer and comply with all applicable federal, state, and local fair employment practices laws.
We strictly prohibit and do not tolerate discrimination against employees, applicants, or any other covered persons because of race, color, religion, creed, national origin or ancestry, ethnicity, sex, gender (including gender nonconformity and status as a transgender or transsexual individual), sexual orientation, marital status, age, physical or mental disability, citizenship, past, current or prospective service in the uniformed services, predisposing genetic characteristic, domestic violence victim status, arrest records, or any other characteristic protected under applicable federal, state or local law.


E-Verify Statement

Betterment participates in E-Verify.
We will provide the Social Security Administration, and if necessary, the Department of Homeland Security, with information from each new employee's Form I-9 to confirm work authorization.
Please note that we do not use this information to pre-screen job applicants.

E-Verify Notice
E-Verify Notice (Spanish)
Right to Work Notice
Right to Work Notice (Spanish)

CPRA Language - CA Applicants ONLY

We collect and store personal information for the purposes of candidate tracking (for this role and future opportunities).
The information you provide in the course of completing your application will be kept for up to 24 months.
We use tools provided by third-party service providers but do not share candidate information for any purpose other than for recruiting.
To access the data that is collected, request deletion or to make updates to your candidate profile, please email ******.