Job Detail

Compliance Officer at SigFig
Phoenix, AZ, US
SigFig is tearing down the barriers to investing. We've raised $60 million to support our growth as the #1 Online Investment Advisor for large Financial Institutions. Help us define the next generation of investing!

Our Risk team has a unique opportunity for a Compliance Officer familiar with investment advisory firms who also has technical expertise or a strong desire to acquire skills related to IT and Information Security controls. You will be working at the direction of both the CCO and the CISO.

WHAT YOU'LL BE DOING:
Develop and execute a Compliance Testing Program, adequately addressing areas of significant risk
Develop testing strategies, complete compliance tests and reviews as outlined in the Testing Plan
Analyze the results of testing and work on remediation plan
Review and approve marketing and business development materials
Prepare regulatory filings (e.g. 13F) as needed
Review email, social media, and other firm communications to ensure compliance
Assist in the preparation and completion of an annual compliance risk assessment and develop an annual compliance review schedule
Partner with Risk/Security to implement and test cybersecurity program, DR and business continuity plan
Implement new policies and procedures to address regulatory changes and/or new business lines
Respond to inquiries from employees regarding compliance-related issues
Keep abreast of developing regulatory areas and guidance
WE'RE LOOKING FOR SOMEONE WITH:

Bachelor’s degree in Business, Finance, Financial Planning or related field of study.
2+ years of experience at an investment advisory firm or broker-dealer
Knowledge of Investment Advisers Act of 1940, SEC and FINRA regulations
Experience in Fintech is a plus
PERKS & BENEFITS:

Competitive compensation packages
Medical, dental and vision benefits for employees and their dependents
Flexible vacation policy with uncapped time off
Catered lunches daily and a kitchen stocked full of drinks and snacks
Fitness subsidy
Commuter subsidy
ABOUT SIGFIG
SigFig is dedicated to making high-quality investment advice more accessible and affordable to investors of all wealth levels. Using a combination of design, data science, and technology, SigFig helps empower investors with the information and guidance they need to achieve their personal financial goals. Through partnerships with some of the world’s largest and most innovative financial institutions, SigFig seeks to help investors and advisors better manage their investments. Its enterprise technology accelerates time to market for its partners, while doing so in a secure, scalable, and compliant way. Its product, design, and growth labs fuel innovation, accelerate adoption, and create delight for clients.

Founded in 2007, SigFig is backed by leading financial institutions including Eaton Vance, Comerica Bank, New York Life, Santander InnoVentures, and UBS, as well as top-tier venture capital firms, including Bain Capital Ventures, DCM Ventures, Nyca Partners, and Union Square Ventures. The company is headquartered in San Francisco, California. Learn more at www.sigfig.com.