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Responsibilities:
- Lead the compliance risk management team and ensure compliant operations.
- Support the Chief Compliance Officer in designing and managing the compliance program.
- Supervise and mentor compliance staff and drive a culture of ethics.
Qualifications:
- 10+ years of compliance experience at a broker-dealer or investment advisory firm.
- FINRA Series 7 and 24 or Series 14 required.
- Strong knowledge of FINRA, MSRB, and SEC rules.
Compensation and Benefits:
- Estimated annual salary of $215,000 - $246,875 plus equity and bonus.
- Comprehensive benefits including medical, vision, dental, and 401K.
- Generous time off and parental leave.
Wealthfront
Wealthfront is a financial technology company that leverages technology to build powerful, low-cost, and easy-to-use financial products. We have over 1 million clients and more than $90 billion in assets, and we value diversity and equal opportunity.