hero

Jobs at Alumni Ventures Portfolio Companies

447
companies
2,337
Jobs

Chief Compliance Officer

Ellevest

Ellevest

Legal
United States · Remote
Posted on Thursday, September 14, 2023

Who We Are

Ellevest is an investing and wealth management company built by women, for women. In a sea of financial services, we stand apart with our mission to get more money in the hands of women, no matter where they’re starting or how far they’ve come. We started by building the only gender-aware online investing platform that takes totally un-ignorable realities (like pay gaps, different salary curves, and women’s longer lifespans) into account. Then we added financial planning services for Ellevest clients, plus a full-service private wealth management service that helps high net worth people, families, and institutions align their financial power with their values.

Ellevest was co-founded by Wall Street veteran, Sallie Krawcheck. Prior to Ellevest, Krawcheck was one of the only financial executives of her generation to have held C-suite roles at the largest global banks — as CEO of Merrill Lynch, Smith Barney, US Trust, and Sanford Bernstein and as CFO of Citi. As a venture-funded business, we’ve beat impossibly long odds to raise $145 million in venture-capital funding (women CEOs raise $1 out of every $10,000 Series B fintech dollars). Our investors include: Rethink Impact, Venus Williams, Valerie Jarret, Pivotal Ventures, and Melinda Gates’ family office.

Diversity, Equity & Inclusion

Ellevest is an equal opportunity employer and we value diversity at our company. Data shows that diverse teams are more innovative, make better decisions, and lead to greater employee engagement. When hiring, we look for culture add, not culture fit. That means hiring people who bring new perspectives and different experiences to our team. We do not discriminate on the basis of race, religion, color, national origin, gender, sexual orientation, age, marital status, veteran status, or disability status.

About the Role

As a member of the Legal & Compliance team, you will support our mission by being responsible for all aspects of our SEC registered investment advisor compliance program. You will use your deep understanding of SEC rules and regulations to build out effective processes and procedures tailored to Ellevest’s unique business and regulatory needs. You will work closely with internal business partners to provide a tactical and risk-weighted compliance point-of-view, create pragmatic and effective compliance processes.

You will ensure that the elements of the Ellevest compliance program are executed, holding your teammates accountable to execute their compliance routines, and, through critical analysis of potential strengths and weaknesses of the program, recommend enhancements. You ensure the trains are running on time, while figuring out how they can run better and faster.

Day-to-day you will:

  • Drive our compliance program with a “client first” ethos.
  • Ensure appropriate regulatory policies, procedures and controls are established, maintained and well documented.
  • Take ownership of Firm filings, including Form ADV, IAR registrations.
  • Take ownership of ongoing Code of Ethics compliance.
  • Lead compliance needs for regulatory examinations; keep abreast of new regulatory updates and development best practices tailored for the company’s risks and business needs.
  • Drive our vision forward as the strategic compliance partner to your teammates across Legal & Compliance, Investments, Product, Marketing and Technology; provide business units with risk-weighted and tactically focused compliance partnership.

We’re looking for:

  • A minimum of 6 years experience as a compliance professional at an investment advisor, or regulator supporting am RIA compliance program
  • Experience building, implementing, and maintaining a risk-based SEC compliance program, including testing and monitoring infrastructure.
  • Experience with a digital advisor and/or a fluency with the unique compliance dynamics facing digital advisors.
  • Thorough knowledge of all RIA compliance issues, working knowledge of custodial broker-dealing compliance.
  • Meticulous attention to detail and outstanding written and oral communication skills, with demonstrated ability to think analytically and strategically to solve problems and implement solutions.
  • A true solution finder, passionate about enabling others to do their best work.
  • Passion for economic equality.

Ellevest's compensation framework is based on relevant data, benchmarking and research for comparable companies and on our internal pay equity policies. The prospective annual salary range for this role is $190,000 – $215,000. In addition to base salary, Ellevest compensation offering for full-time employees will also include the following benefits: equity, 401k plan with employer contribution, medical, dental and vision health insurance (80% of premiums covered by employer), unlimited paid time off and flexible scheduling, paid parental leave, learning and development opportunities, financial support for accessing reproductive healthcare, free access to an Ellevest digital account and discounts on our financial planning and Private Wealth Management offerings. The actual offer, reflecting the total compensation package and benefits, will be determined by a number of factors including (but not limited to) the applicant's experience, skills, certifications, as well as internal equity among our team.

Working at Ellevest

Ellevest was founded in New York City, but today, our fully remote team is spread across the United States. As a member of the team, your work will directly support our mission and benefit the lives of real women every day. We’re also dedicated to building a work environment where everyone on our team can grow and thrive, with flexible working hours and time off; remote work policies designed for transparency and effective cross-team collaboration; ongoing team building and professional development; and more.

Do you think you could thrive in this role?

Please send us your application — even if you don’t check every single box. No two people’s career paths look exactly alike, and skill sets come in many different forms. We can’t wait to hear about yours.

Note: Instead of a cover letter, we ask you to answer the questions at the bottom of this application.