Senior Compliance Associate, Compliance Operations - Marketing and Advertising Compliance

Wealthfront is seeking an experienced and talented Senior Compliance Associate to join our Compliance Operations Team, with a specialized focus on marketing and advertising compliance. A successful candidate will ensure that all marketing and advertising communications comply with regulatory requirements, including the SEC Marketing Rule and FINRA Rule 2210. This role requires a strong understanding of financial products and services and the regulatory landscape governing marketing and communications in the investment services industry. This role will work closely with other members of the Legal and Compliance department and collaborate with all other departments including the Communications, Marketing, Product, Design, Engineering, Product Support, and People Operations teams.

Review and Approve Marketing and Advertising Materials:

• Conduct thorough reviews of marketing and advertising materials, including educational blog posts, websites, social media, presentations, paid media, web and mobile apps, and client communications, to ensure compliance with the SEC Marketing Rule and FINRA Rule 2210.
• Provide clear, timely feedback to key stakeholders to ensure alignment with regulatory and internal policy standards.
• Assist with and provide guidance on content development and creation to align with firm initiatives related to products and services. Articulate clear, compelling value propositions through subject matter expertise.
• Provide supervisory approval related to all reviewed and acceptable marketing and advertising materials.

Monitor Regulatory Developments and Maintain Policies and Procedures:

• Stay current with updates and changes to SEC, FINRA, and other regulatory requirements impacting marketing and advertising compliance.
• Assess the impact of regulatory changes on marketing activities and work with key stakeholders to implement necessary adjustments to policies and/or procedures.
• Create and maintain a centralized compliance library with up-to-date regulatory interpretations and internal guidance.
• Review and update internal guidelines, policies, and procedures related to marketing and advertising compliance. Communicate to key stakeholders applicable updates and provide guidance on any changing regulatory or internal policy requirements.
• Develop and update decision frameworks to ensure consistent application of compliance standards across all marketing and advertising channels.

Advisory and Strategic Guidance:

• Own projects and initiatives and serves as the primary point of contact for compliance-related inquiries related to marketing and advertising.
• Provide proactive guidance during the content development (if applicable) and guide key stakeholders on acceptable language, imagery, performance data, products and services, and disclosures for specific marketing and advertising initiatives, including medium for delivery.
• Develop and provide training on emerging regulatory issues, including any changes to the SEC Marketing Rule and FINRA Rule 2210 that impact compliance interpretations and understanding of such regulations.

Collaboration and Stakeholder Engagement:

• Work closely with the marketing, communications, design, and product teams to integrate a culture of compliance to help identify areas of potential risk or non­-compliance. Engage partners in legal and compliance to manage the documentation and resolution process for non­-compliance.
• Participate in strategy meetings with key stakeholders to provide compliance insights on marketing material development.
• Support regulatory examinations and internal audits related to marketing compliance. Provide general support in preparation for and executing responses to routine audits and examinations.

Expertise and Attributes

• Approaches work as an owner. Identifies opportunities and challenges and takes action without waiting for instructions. Takes full responsibility for tasks and outcomes, owning both successes and failures. Inspires the confidence of partners, stakeholders, and teammates by committing and delivering.
• Strong working knowledge of FINRA, MSRB, and SEC rules applicable to communications with the public, including general content standards and record-keeping requirements.
• Understands partners’ commercial and strategic direction, and exercises sound, well-supported judgment when crafting paths forward.
• Broad analytical skills, with experience identifying and quantifying problems while providing creative, effective solutions.
• Strong technical writing background with a firm understanding of content creation as it relates to in app content, marketing content, social media content, and disclosure content.
• Contributes to the development and execution of marketing campaigns - and when appropriate, apply an industry lens (i.e., customize the messaging or channel tactics for a specific target audience).
• Demonstrated ability to communicate effectively and influence positive outcomes at multiple levels of an organization.
• Customer-focused, business-centric, and team-oriented mindset; relentlessly passionate about owning and completing valuable work.
• Excellent organizational skills and ability to set and meet deadlines in a high paced environment.
• Intellectually curious and interested in applying technology to enhance business processes.
• Product experience including mutual funds, money market funds, ETFs, margin products and 529 plans.
• Experience with or general understanding of broader financial services including investment advisory, planning, banking, and mortgages is a plus.

Requirements

• BA/BS degree.
• 4+ years of relevant experience.
• FINRA Series 7 (required)
• FINRA Series 24 preferred
• Willingness to obtain other registrations and/or licenses as necessary.

Estimated annual salary range: $133,000-144,000 USD plus Equity. Benefits include medical, vision, dental, 401K plan, generous time off, parental leave, wellness reimbursements, professional development, employee investing discount, and more! About Wealthfront Here at Wealthfront, our mission is to create a financial system that favors people, not institutions. We do this by leveraging technology to build powerful, low-cost, and easy-to-use financial products that help modern investors grow and manage their money. We started with the ambition to transform the investment advisory business. By automating strategies typically reserved for the wealthy, we unlocked access to high quality investment advice for a digitally-native generation that was underserved by traditional institutions. Since then, we've expanded to a full suite of products designed to help our clients turn their savings into long-term wealth, including: • A Cash Account that, through our partner banks, offers one of the highest annual percentage yields on uninvested cash in the industry, while providing instant and secure access to your money with no account fees and a full suite of checking features. • A zero-commission Stock Investing Account with 50+ handpicked collections that help DIY investors discover new companies and make smarter investing decisions. • Multiple automated investing portfolios designed to unlock tax savings through sophisticated strategies like fixed income, tax-loss harvesting, and direct indexing—which we offer at industry-leading low costs and accessible minimums. Our award-winning products have attracted over 1 million clients who trust us with more than $80 billion of their hard earned savings—and we're far from done. If you’re inspired to help us reshape the financial industry as we create our next chapter, let’s talk! For more information please visit www.wealthfront.com.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. Please review our candidate privacy notice. Disclosures: All investing involves risk, including the possible loss of principal. Tax-Loss Harvesting benefits vary depending on the client's entire tax and investment profile. Wealthfront doesn’t provide tax advice. The Cash Account is offered by Wealthfront Brokerage LLC (“Wealthfront Brokerage”), Member of FINRA/SIPC. Wealthfront Brokerage is not a bank. We convey funds to partner banks who accept and maintain deposits, provide the variable interest rate, and provide access to FDIC pass-through insurance. Investment management and advisory services–which are not FDIC insured–are provided by Wealthfront Advisers LLC (“Wealthfront Advisers”), an SEC-registered investment adviser. The checking features offered in the Wealthfront Cash Account are provided by Green Dot Bank, Member FDIC. Fees and Eligibility requirements may apply to certain checking features, please see the Deposit Account Agreement for details. By “award-winning products”, please refer to www.wealthfront.com/reviews for more information. Wealthfront Corporation oversees Total Client Assets and Trusted Clients through Wealthfront Advisers and Wealthfront Brokerage. Wealthfront Advisers and Wealthfront Brokerage are wholly owned subsidiaries of Wealthfront Corporation.