Sr. Manager, Marketing Compliance
Betterment is seeking a Senior Manager of Marketing Compliance to join our dynamic team. This role is integral to managing the compliance function within one of the most innovative registered investment advisers and broker-dealers. The successful candidate will be based in our New York City office, contributing to our mission of empowering people to build wealth with confidence and ease.
The Senior Manager will oversee the daily review of marketing materials and social media content related to investment advisory and broker-dealer products, ensuring adherence to SEC Rule 206(4)-1, FINRA Rule 2210, Reg DD, and other applicable regulations. Responsibilities include managing and developing two direct reports, collaborating with the marketing team to advise on initiatives, managing our marketing review tool, identifying and implementing program enhancements, reviewing marketing-related vendors, and executing the compliance program for their area of responsibility.
Candidates should possess expertise in SEC Rule 206(4)-1 and FINRA Rule 2210, including rules related to testimonials, endorsements, and performance marketing. The role requires strong organizational skills, the ability to prioritize workflow in a deadline-oriented environment, multitasking capabilities, management experience, meticulous attention to detail, excellent communication and organizational skills, and the ability to work well across various business units. A Series 24 certification is required or must be obtained.
Betterment offers a competitive base salary range of $160,000 to $180,000 for this position, with actual salaries varying based on factors such as location, experience, and performance. The total compensation package includes a competitive equity package, health, dental, and vision benefits, life and AD&D insurance, short-term and long-term disability insurance, EAP, commuter and parking benefits, FSA/HSA, and a 401(k) with employer match. Flexible paid time off is also provided.
Joining Betterment means becoming part of a community of innovators working to transform financial outcomes for real people. We set audacious goals and strive to achieve them, valuing diverse perspectives and fostering a supportive and inclusive community. Employees are empowered to own and lead change, with dedicated professional development opportunities and community-building through our seven Employee Resource Groups.