Uncubed

Compliance Officer

Ellevest, NYC

Redefining Investing for Women


About This Position

As a Compliance Officer at Ellevest, you will work closely with the Chief Compliance Officer and assist in a broad range of compliance and regulatory matters aimed at developing and maintaining an effective investment advisory compliance program, by partnering with internal business units such as Portfolio Management, Client Experience, Operations, Product, Marketing and Technology.

Responsibilities

You will:

  • Administer the Firm’s Compliance Program, including its Policies and Procedures and Code of Ethics by helping to identify and assess new business and regulatory risks.
  • Provide compliance training and guidance to internal business associates on investment advisory compliance issues and permissible activities under the Firm’s policy and the Investment Advisers Act of 1940, including the review of marketing materials.
  • Lead the Firm’s compliance monitoring and surveillance program to assess the effectiveness of its policies and procedures.
  • Maintain Ellevest’s Form ADV Parts 1 and 2 including its advisory and wrap fee brochures. Prepare annual amendment and interim updates and filings. Oversee ADV delivery.
  • Support regulatory examinations including compiling information requested; interface with SEC and other auditors.
  • Serve as the compliance liaison to Ellevest’s risk management committees.

Requirements

You have:

  • 7-10 years’ of investment advisory experience with direct exposure to compliance; JD preferred.
  • Working knowledge of the Advisers Act, SEC rules and regulations and no-action letter guidance for RIAs, as well as familiarity with FINRA and Department of Labor regulations affecting RIAs.
  • Risk based critical thinking skills and strong written and oral communication skills among different business audiences; client service oriented.
  • Project management and process improvement capabilities with the ability to prioritize and manage multiple projects in a fast-paced and dynamic work environment. This includes working independently and on a team.
  • Passion for our women-oriented mission.

About Ellevest

Ellevest is a transformative technology company created to help women achieve their financial potential. Ellevest helps women take control of their financial futures through investing, with a beautifully designed digital platform backed by an incredibly smart algorithm. Ellevest was co-founded by Wall Street veteran Sallie Krawcheck, chair of the Ellevate Network, previously CEO of Smith Barney and Merrill Lynch Wealth Management, formerly CFO of Citi, and author of “Own It: The Power of Women at Work.”Ellevest has raised over $44MM from investors like Rethink Impact, Khosla Ventures, Morningstar, and Venus Williams.

Ellevest has flipped the traditional approach to investing with a real-life, goal-based approach. Clients select personal financial goals such as buying a home, starting a business, raising a family, and retiring well, among others. Ellevest is unique in taking into account a woman’s longer lifespan and different salary curve, combined with her current financial picture, to construct highly customized investment portfolios for each of her goals. Ellevest’s unique algorithms are designed to get the client to her goal number or better in 70% of market scenarios, higher than traditional financial advisors.

Working at Ellevest

Ellevest is a leading tech company in New York City, with a thriving team across our engineering, product, marketing, client experience, investments, and operations organizations. We place a major emphasis on building a team and working environment where individuals can succeed professionally and personally. As a team member at Ellevest, you can expect to make a difference through your work, to have a direct impact on the achievement of a very meaningful mission, to significantly advance your career trajectory, and to have room for fun and fulfillment in your daily life. We know that achieving a mission as critical as ours requires incredible talent and teamwork, and team is the most important thing to us.

In 2017, CNBC listed Ellevest as one of their Top 25 Most Promising Startups on a path to becoming tomorrow’s household names. We were also named one of Entrepreneur Magazine’s 100 Brilliant Ideas. We are working every day to make becoming a household name a reality, and create a brand and a service that fosters female financial independence.

Some Benefits of Working at Ellevest

  • Flexible Schedule
  • Unlimited Vacation
  • Beautiful Office in Flatiron
  • Health, vision, and dental insurance
  • Parental leave policy
  • Retirement savings plan (401k)

We are an equal opportunity employer and value diversity at our company. We do not discriminate on the basis of race, religion, color, national origin, gender, sexual orientation, age, marital status, veteran status, or disability status.

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

 

About Ellevest

Dream Big. Invest Smart.

We’re redefining investing for women, and you’re so invited. 

Want to learn more about Ellevest? Visit https://www.ellevest.com/