Grow your career with a growing organization

Whether they’re helping people reach their long-term financial goals or providing personal wealth management strategies, every associate contributes to changing the lives of those we serve for the better. When it comes to job satisfaction, that’s hard to beat. And from a personal satisfaction perspective, you’ll enjoy the freedom to support causes that matter to you and experience a truly inclusive work environment. Your future starts now.

Position Summary:

As Senior Compliance Manager at Personal Capital, you will be an integral part of the legal and compliance team dedicated to supporting the business and helping Personal Capital grow. The Senior Compliance Manager will report to the Director of Compliance as part of a small, cohesive, and hardworking team. We are seeking a seasoned compliance professional who is a passionate team player, is detail-oriented, enthusiastic, diligent, resourceful and wants to be in a fast-paced financial services company. Our ideal candidate will have proven experience in the industry and will have a substantive role in helping develop and administer the compliance program with specific emphasis on investment and trading topics. This is an exciting opportunity for someone to apply and expand their knowledge in the evolving regulatory landscape, act as a mentor to more junior members of the team and assist the Director of Compliance with day-to-day workflow and ad hoc projects.

Responsibilities:

• Provide business support including application and drafting of compliance policies and procedures
• Promote awareness through effective training and communications
• Independently lead complex projects or initiatives with little direction
• Mentor more junior team members
• Possess an interest and passion for continuing to apply and expand his/her knowledge and understanding of federal securities rules and regulations
• Act as a subject matter expert to provide compliance advice across the organization, with emphasis on the investment and trading space

Key Requirements:

• A minimum of 5 years of asset management or financial industry compliance experience
• Proven understanding of compliance operations and meaningful SEC/FINRA experience
• Strong knowledge of equity and fixed income securities products and the ability to advise on investment matters, including evaluation of guidelines and protocols around trading, best execution, trade errors, and performance calculations
• Proven data analytics and report writing experience
• Proficiency in MS Word, Excel, and other Microsoft Office applications
• Strong interpersonal skills for interacting with senior management and representing Compliance in meetings, forums, and working groups
• Excellent communication skills (written and verbal) with the ability to anticipate and provide solutions to complicated problems and be capable of presenting them in a clear and compelling manner

To Apply:

• Submit resume detailing your experience
• Submit a cover letter explaining why you would be a great fit

What we offer you

We offer an array of diverse and inclusive benefits regardless of where you are in your career. We believe that providing our employees with the means to lead healthy balanced lives results in the best possible work performance.

• Medical, dental, vision and life insurance
• Retirement savings – 401(k) plan with generous company matching contributions (up to 5), financial advisory services, potential company discretionary contribution, and a broad investment lineup
• Tuition reimbursement up to $5,250/year
• Business-casual environment that includes the option to wear jeans
• Generous paid time off upon hire – including a paid time off program plus nine paid company holidays and three floating holidays each calendar year
• Paid volunteer time — 16 hours per calendar year
• Leave of absence programs – including paid parental leave, paid short- and long-term disability, and Family and Medical Leave (FMLA)
• Business Resource Groups (BRGs) - internal networks that rally around common interest, experiences and identities such as race, ethnicity, gender, ability, military status and sexual orientation. BRGs play a vital role in educating and engaging our people and advancing our business priorities.

Competitive compensation, includes base salary and eligibility to participate in either an annual bonus program or sales incentive plan, as applicable. Base salary range provided below is a reasonable estimate and final base salary may differ based on the selected candidate’s education, training, experience, licensure requirements, travel requirements and geographic location.

Location

CA Redwood City

Base Salary Range

$ 105,200.00-173,600.00

We are an equal opportunity employer with a commitment to diversity. All individuals, regardless of personal characteristics, are encouraged to apply. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability or veteran status.