Director of Compliance

At Acorns, our mission is to look after the financial best interests of the up-and-coming, beginning with the empowering, proud step of micro-investing. How do we accomplish our mission? Our values.

Lead With Heart - With compassion, integrity, and tenacity, inspire yourself and others to move past all previous thresholds of possibility

Make Bold Decisions - We are creating a new world. Be optimistic, adventurous, and courageous. Leap fearlessly into the future

Always Build Trust - Say what you mean, mean what you say, and do what you say you’re going to do. We are all owners. We are one team

Never Stop Growing - Change IS the constant. Stay hungry and curious. Be relentless in the pursuit of progress

Find a way - Never settle, no excuses, nothing is impossible. Just make it happen

Our values guide us, and our mission drives us. Come join us and help deliver financial wellness for the whole family, putting the tools of wealth-making into everyone’s hands.

Director of Compliance | Acorns

Acorns is seeking a Director of Compliance who will report directly to the Chief Compliance Officer and will assist in all aspects of the firm’s compliance program.  This will include, but not be limited to, maintaining the firm’s policies and procedures, analyzing regulatory changes, enhancing the firm’s compliance program, building out a monitoring and testing program and developing a close relationship with compliance’s business partners throughout the firm.

This role has the option to be remote or based in our Irvine or New York offices.

You are not expected to have experience with all listed requirements. If you feel passionately about Acorns' mission, vision and values, please apply.  '

What you will do at Acorns:

• Manage day-to-day compliance activities, including reviewing marketing materials and public communications.

• Assist and lead regulatory examinations, inquiries, and requests from relevant authorities.

• Proactively identify, prioritize, and mitigate regulatory risks.

• Plan and execute strategic goals and objectives aligned with the firm’s mission statement.

• Lead a small team of direct reports by providing guidance, mentorship, and performance feedback to ensure the success of the compliance program.

• Collaborate regularly with key business partners, including Marketing, Product, Invest Operations and beyond to support compliance initiatives.

• Provide subject matter expertise to the Chief Compliance Officer (CCO) and other stakeholders.

• Drive key strategic compliance initiatives and support long-term organizational goals.

• Serve as a role model by embodying and promoting the firm's cultural principles.

What you will bring to Acorns:

• FINRA Series 7 and 24 are required. Series 65 or 66 license or willing to obtain it within the first 90 days

• Minimum 7 years SEC Registered Investment Adviser or Broker Dealer experience, with extensive background in developing policies and procedures 

• Bachelor’s or advanced degree in a related field

• Superior knowledge of financial services, including securities laws and SEC/SRO rules and regulations

• Extensive experience working with SEC and FINRA rules, specifically FINRA Rule 2210 and SEC Marketing Rule

• Solution-focused and detail-oriented with the ability to work with multiple priorities, in a fast-paced environment

• Prior regulatory work experience with FINRA or the SEC 

• Excellent leadership skills; successful at training and delegating

• Thirst for delivering game-changing products, ability to assess issues and proactively determine creative solutions

• Accomplished communicator, exceptional drive and precision in delivery

• 4+ years of people management experience

• Demonstrated experience motivating, supporting, and developing team members to meet performance expectations, and build their careers

• Ability to align company vision and organizational goals with team execution

• Commitment to upholding policy and procedures per company standards

• Own strategic decision-making and effectively communicate direction to team members

• Hunger to deliver game-changing products

• Exceptional drive and precision in delivery

• A belief that your work is tied to your life's mission

• Optimistic about the potential of societal change

What we offer: 

• Competitive salary and stock options

• A comprehensive benefits package to meet the needs of you and your family

• Flexible paid time off

• Numerous career possibilities that allow you to grow with Acorns

• Talented and motivated team members who care deeply about one another, our mission, and our customers.

• The rare opportunity to create a new world. We inspire one another every day to do meaningful work that solves big societal challenges.

What we offer: 

• Competitive salary and stock options

• A comprehensive benefits package for you and your family

• Flexible work location, hours, and paid time off 

• 401(k) discretionary match

• Monthly Acorns account contribution & GoHenry account for your family

• Mindfulness and Financial Wellness resources, Headspace and Addition Wealth

• Acorns Career Development Program (Ongoing training sessions, development plans, development check-ins, Cornerstone’s online training platform)

• Roots Leadership Program for Emerging Leaders

• Community week onsite gatherings and various virtual events

• Talented and motivated team members who care deeply about one another, our mission, and our customers.

• The rare opportunity to create a new world. We inspire one another every day to do meaningful work that solves big societal challenges.

About Acorns:

Acorns is a financial wellness app that helps everyday people and families save and invest money for the long term. Since 2014, Acorns has grown into a global company with multiple life stage products serving the needs of kids, teens, adults and parents. Named one of Time’s “World’s Best Brands of 2024,” Acorns has helped over 13 million people save & invest over $22 billion dollars, much of it from spare change and small amounts.

Management Principles:

• Managers are constantly raising the bar

• Managers ensure all team members have a voice and a path

• No surprises - Managers give and receive feedback early and often

• Managers continuously assess performance action on concerns quickly

• Managers foster a resilient, results-oriented mindset

Compensation Information:

The pay range for this position at commencement of employment is expected to be between $181,000 and $196,000/year; however, base pay offered may vary depending on multiple individualized factors, including market location, job-related knowledge, skills, and experience. The total compensation package for this position may also include other elements, including a sign-on bonus, equity grants, and discretionary cash bonus awards in addition to a full range of medical, financial, and/or other benefits (including 401(k) eligibility and various paid time off benefits, such as vacation, sick time, and parental leave), dependent on the position offered. Details of participation in these benefit plans will be provided if an employee receives an offer of employment.

If hired, employee will be in an “at-will position” and the Company reserves the right to modify base salary (as well as any other discretionary payment or compensation program) at any time, including for reasons related to individual performance, Company or individual department/team performance, and market factors.

Work Authorization:
Acorns participates in E-Verify to confirm the employment eligibility of all newly hired employees. For more information about E-Verify, please visitwww.e-verify.gov