Director of Compliance

Responsibilities

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Lead the compliance risk management team, ensuring compliant operations, products, and services across the Company's various business lines and regulated entities.

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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.

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Lead the Governance, Risk, and Compliance (“GRC”) program for effective regulatory risk management, including developing and maintaining relevant process, risk, and control documentation.

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Administer the Company’s policy governance program, which encompasses the development, publication, and maintenance of applicable policies and procedures for the Company and its regulated entities.

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Develop, implement, and maintain a comprehensive AI governance framework to ensure the safe, ethical, and legally compliant deployment of artificial intelligence systems.

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Plan, facilitate, and execute all necessary monitoring, testing, periodic risk assessments, executive reporting functions, and certification processes for the broker-dealer’s supervisory policies, ensuring compliance with relevant securities laws and regulations.

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Lead the annual control evaluation and reporting requirements for the Company’s regulated entities, including the broker-dealer and two investment advisers.

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Partner with the General Counsel and senior legal team to implement and maintain a regulatory change management program, analyzing new regulations and proactively creating compliant solutions for products and services.

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Direct the Company’s compliance efforts related to its proprietary money market fund, the Wealthfront Treasury Money Market Fund (WLTXX).

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Enhance and maintain organizational and record-keeping processes to enable timely and accurate responses to regulatory inquiries and examinations.

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Coordinate the accurate and timely filing of all required regulatory documents, including ADV Part 1, ADV Part 2A, ADV Part 2B, Form BD, 17H, and 13F.

Expertise

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• Possess a customer-focused, business-centric, and team-oriented mindset, with a strong dedication to completing valuable work.
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• Demonstrated ability to communicate effectively and influence positive organizational outcomes at all levels.
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• Exhibit excellent organizational skills and the ability to meet deadlines within a high-paced environment.
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• Maintain a strong working knowledge of FINRA, MSRB, and SEC rules, particularly those applicable to public communications and record-keeping requirements.
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• Intellectual curiosity regarding the application of technology to enhance business processes is preferred.
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• Broad analytical skills, including experience identifying, quantifying problems, and providing creative, effective solutions, are a plus.
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• Product experience with mutual funds, money market funds, ETFs, margin products, and 529 plans is preferred.
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• General understanding of broader financial services, including investment advisory, planning, banking, and insurance, is advantageous.

Requirements

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• 10+ years of professional experience, including direct experience as a compliance professional at a broker-dealer or investment advisory firm
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• FINRA Series 7 and 24 or Series 14; willingness to obtain other registrations and/or licenses as necessary