Manager, Marketing Compliance
Menlo Ventures, New York, NY, United States
About Betterment
Betterment is a leading, technology‑driven financial services company that offers investing and retirement solutions for retail investors and investment advisors as well as financial wellness solutions, including a 401(k) for small and medium‑size businesses. Our team is passionate about our mission, to empower people to build wealth with confidence and ease . We’re headquartered in NYC and offer hybrid NY‑based positions (four days per week in‑office).
About the role
You are eager to join a dynamic team to help manage the compliance function at one of the most innovative registered investment advisers and broker‑dealers. You’re thorough, always ask questions, and are detail oriented. You thrive in a fast‑paced environment, are able to prioritize, and have an eye towards continuous improvement. You have significant experience with SEC and FINRA marketing rules and have expertise in marketing review. You have strong management skills and are ready to manage a team of two. You think outside the box and find working across the business to find solutions fun! You are ready to roll up your sleeves and get to work in an exciting work environment.
This role is based out of our NYC office.
Base salary range:
New York City: $130,000 - $150,000
We offer a competitive equity package, health, dental and vision benefits, and a 401(k) offering with employer match as well as flexible PTO policy. This job is eligible for variable compensation in the form of a discretionary company incentive bonus.
A day in the life
Manage and develop two (2) direct reports, conducting daily marketing review and other program tasks
Manage and oversee the daily review of marketing materials and social media related to investment advisory and broker‑dealer products to ensure adherence to SEC Rule 206(4)-1, FINRA 2210, Reg DD and other applicable regulations
Partner and collaborate with the marketing team, including advising on initiatives to help achieve business goals
Identify marketing program enhancements
Review marketing‑related vendors including promoters and influencers as part of our third‑party risk management program
Execute the Compliance program for his or her area of responsibility, including promulgating policies and procedures, conducting monitoring, testing, and assessments, and providing training
And, so much more!
What we’re looking for
Expertise in SEC Rule 206(4)-1 and FINRA Rule 2210, including rules related to testimonials/endorsements and performance marketing
Ability to organize and prioritize workflow and assignments in a deadline‑oriented environment
Ability to multi‑task and work within tight deadlines
Management experience
A meticulous attention to detail
Desire to work in a fast‑paced and changing environment
Excellent communication and organizational skills
Ability to work well across various business units
Strong intellectual curiosity
Series 24 required (or must obtain)
What being at Betterment means for you
We change lives
Join a community of innovators working to transform financial outcomes for real people. Your work will make an impact, always laddering up to our mission: making people's lives better.
We set audacious goals
We set them for the company, our customers, and ourselves—and we won’t stop until we reach them. We don’t just show up; we give our all, then celebrate our wins.
We value all perspectives
When we collaborate, we’re at our best. We believe diverse perspectives lead to better outcomes and strive to uphold our supportive and inclusive community.
We invest in you with:
A competitive suite of benefits, including medical, dental, and vision insurance; life and AD&D insurance; STD and LTD benefits, including infertility support and World Professional Association for Transgender Health approved benefits; and generous parental leave
Flexible paid time off (and encouragement to use it!)
Meaningful opportunity for community building through our 7 Employee Resource Groups
Empowerment to own and lead change and affect the business
Dedicated professional development opportunities
Lunch from our in‑house chef at our NYC headquarters
Betterment is dedicated to providing accommodations to candidates upon request. If you need accommodations at any point throughout the interview process, please reach out to your recruiter.
We’re an equal opportunity employer and comply with all applicable federal, state, and local fair employment practices laws. We strictly prohibit and do not tolerate discrimination against employees, applicants, or any other covered persons because of race, color, religion, creed, national origin or ancestry, ethnicity, sex, gender (including gender nonconformity and status as a transgender or transsexual individual), sexual orientation, marital status, age, physical or mental disability, citizenship, past, current or prospective service in the uniformed services, predisposing genetic characteristic, domestic violence victim status, arrest records, or any other characteristic protected under applicable federal, state or local law.
Betterment participates in E‑Verify. We will provide the Social Security Administration, and if necessary, the Department of Homeland Security, with information from each new employee’s Form I‑9 to confirm work authorization. Please note that we do not use this information to pre‑screen job applicants.
CPRA Language – CA Applicants Only
We collect and store personal information for the purposes of candidate tracking (for this role and future opportunities). The information you provide in the course of completing your application will be kept for up to 24 months. We use tools provided by third‑party service providers but do not share candidate information for any purpose other than for recruiting. To access the data that is collected, request deletion or to make updates to your candidate profile, please email team.hire@betterment.com.
#J-18808-Ljbffr
Betterment is a leading, technology‑driven financial services company that offers investing and retirement solutions for retail investors and investment advisors as well as financial wellness solutions, including a 401(k) for small and medium‑size businesses. Our team is passionate about our mission, to empower people to build wealth with confidence and ease . We’re headquartered in NYC and offer hybrid NY‑based positions (four days per week in‑office).
About the role
You are eager to join a dynamic team to help manage the compliance function at one of the most innovative registered investment advisers and broker‑dealers. You’re thorough, always ask questions, and are detail oriented. You thrive in a fast‑paced environment, are able to prioritize, and have an eye towards continuous improvement. You have significant experience with SEC and FINRA marketing rules and have expertise in marketing review. You have strong management skills and are ready to manage a team of two. You think outside the box and find working across the business to find solutions fun! You are ready to roll up your sleeves and get to work in an exciting work environment.
This role is based out of our NYC office.
Base salary range:
New York City: $130,000 - $150,000
We offer a competitive equity package, health, dental and vision benefits, and a 401(k) offering with employer match as well as flexible PTO policy. This job is eligible for variable compensation in the form of a discretionary company incentive bonus.
A day in the life
Manage and develop two (2) direct reports, conducting daily marketing review and other program tasks
Manage and oversee the daily review of marketing materials and social media related to investment advisory and broker‑dealer products to ensure adherence to SEC Rule 206(4)-1, FINRA 2210, Reg DD and other applicable regulations
Partner and collaborate with the marketing team, including advising on initiatives to help achieve business goals
Identify marketing program enhancements
Review marketing‑related vendors including promoters and influencers as part of our third‑party risk management program
Execute the Compliance program for his or her area of responsibility, including promulgating policies and procedures, conducting monitoring, testing, and assessments, and providing training
And, so much more!
What we’re looking for
Expertise in SEC Rule 206(4)-1 and FINRA Rule 2210, including rules related to testimonials/endorsements and performance marketing
Ability to organize and prioritize workflow and assignments in a deadline‑oriented environment
Ability to multi‑task and work within tight deadlines
Management experience
A meticulous attention to detail
Desire to work in a fast‑paced and changing environment
Excellent communication and organizational skills
Ability to work well across various business units
Strong intellectual curiosity
Series 24 required (or must obtain)
What being at Betterment means for you
We change lives
Join a community of innovators working to transform financial outcomes for real people. Your work will make an impact, always laddering up to our mission: making people's lives better.
We set audacious goals
We set them for the company, our customers, and ourselves—and we won’t stop until we reach them. We don’t just show up; we give our all, then celebrate our wins.
We value all perspectives
When we collaborate, we’re at our best. We believe diverse perspectives lead to better outcomes and strive to uphold our supportive and inclusive community.
We invest in you with:
A competitive suite of benefits, including medical, dental, and vision insurance; life and AD&D insurance; STD and LTD benefits, including infertility support and World Professional Association for Transgender Health approved benefits; and generous parental leave
Flexible paid time off (and encouragement to use it!)
Meaningful opportunity for community building through our 7 Employee Resource Groups
Empowerment to own and lead change and affect the business
Dedicated professional development opportunities
Lunch from our in‑house chef at our NYC headquarters
Betterment is dedicated to providing accommodations to candidates upon request. If you need accommodations at any point throughout the interview process, please reach out to your recruiter.
We’re an equal opportunity employer and comply with all applicable federal, state, and local fair employment practices laws. We strictly prohibit and do not tolerate discrimination against employees, applicants, or any other covered persons because of race, color, religion, creed, national origin or ancestry, ethnicity, sex, gender (including gender nonconformity and status as a transgender or transsexual individual), sexual orientation, marital status, age, physical or mental disability, citizenship, past, current or prospective service in the uniformed services, predisposing genetic characteristic, domestic violence victim status, arrest records, or any other characteristic protected under applicable federal, state or local law.
Betterment participates in E‑Verify. We will provide the Social Security Administration, and if necessary, the Department of Homeland Security, with information from each new employee’s Form I‑9 to confirm work authorization. Please note that we do not use this information to pre‑screen job applicants.
CPRA Language – CA Applicants Only
We collect and store personal information for the purposes of candidate tracking (for this role and future opportunities). The information you provide in the course of completing your application will be kept for up to 24 months. We use tools provided by third‑party service providers but do not share candidate information for any purpose other than for recruiting. To access the data that is collected, request deletion or to make updates to your candidate profile, please email team.hire@betterment.com.
#J-18808-Ljbffr