Description

Join Betterment's compliance team to manage marketing review and ensure adherence to SEC and FINRA rules. You'll lead a team of two, partner with marketing, and drive program enhancements.

Requirements

• Expertise in SEC Rule 206(4)-1 and FINRA Rule 2210
• Ability to organize and prioritize workflow in deadline-oriented environment
• Management experience
• Meticulous attention to detail
• Series 24 required (or must obtain)

Responsibilities

• Manage and develop two direct reports
• Oversee daily review of marketing materials and social media for SEC and FINRA compliance
• Partner with marketing team to advise on initiatives
• Identify marketing program enhancements
• Review marketing-related vendors as part of third party risk management