Director of Compliance

Responsibilities

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

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.

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

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.

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

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.

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

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.

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

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

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

Possess a customer-focused, business-centric, and team-oriented mindset, with a strong dedication to completing valuable work.

Demonstrated ability to communicate effectively and influence positive organizational outcomes at all levels.

Exhibit excellent organizational skills and the ability to meet deadlines within a high-paced environment.

Maintain a strong working knowledge of FINRA, MSRB, and SEC rules, particularly those applicable to public communications and record-keeping requirements.

Intellectual curiosity regarding the application of technology to enhance business processes is preferred.

Broad analytical skills, including experience identifying, quantifying problems, and providing creative, effective solutions, are a plus.

Product experience with mutual funds, money market funds, ETFs, margin products, and 529 plans is preferred.

General understanding of broader financial services, including investment advisory, planning, banking, and insurance, is advantageous.

Requirements

10+ years of professional experience, including direct experience as a compliance professional at a broker-dealer or investment advisory firm

FINRA Series 7 and 24 or Series 14; willingness to obtain other registrations and/or licenses as necessary