Director of Compliance

Join Wealthfront as the Director of Compliance, where you will lead the compliance risk management team, support the Chief Compliance Officer in executing the enterprise-wide compliance and ethics program, and develop a comprehensive AI governance framework. You will also partner with the General Counsel and senior legal team to implement a regulatory change management program, direct the company's compliance efforts related to its proprietary money market fund, and coordinate the filing of all required regulatory documents. Enjoy benefits such as free lunch and snacks, a monthly wellness reimbursement, flexible working hours, and comprehensive medical, dental, and vision coverage.

• Lead the compliance risk management team, ensuring compliant operations, products, and services across the Company's various business lines and regulated entities.
• Support the Chief Compliance Officer in designing, executing, and managing the enterprise-wide compliance and ethics program. Supervise and mentor Compliance staff, design training initiatives, and drive an organizational culture of ethics and accountability.
• Lead the Governance, Risk, and Compliance (“GRC”) program for effective regulatory risk management, including developing and maintaining relevant process, risk, and control documentation.
• FINRA Series 7 and 24 or Series 14; willingness to obtain other registrations and/or licenses as necessary
• 10+ years of professional experience, including direct experience as a compliance professional at a broker-dealer or investment advisory firm
• Exhibit excellent organizational skills and the ability to meet deadlines within a high-paced environment
• General understanding of broader financial services, including investment advisory, planning, banking, and insurance, is advantageous
• Intellectual curiosity regarding the application of technology to enhance business processes is preferred
• Product experience with mutual funds, money market funds, ETFs, margin products, and 529 plans is preferred
• Broad analytical skills, including experience identifying, quantifying problems, and providing creative, effective solutions, are a plus
• Demonstrated ability to communicate effectively and influence positive organizational outcomes at all levels
• Maintain a strong working knowledge of FINRA, MSRB, and SEC rules, particularly those applicable to public communications and record-keeping requirements
• Possess a customer-focused, business-centric, and team-oriented mindset, with a strong dedication to completing valuable work