Compliance Associate, FIU

Wealthfront is seeking a talented, passionate, and experienced compliance professional tosupport the Financial Intelligence Unit (FIU). This individual will work closely with other members of the Legal and Compliance division, and collaborate with other departments across the firm including Fraud Operations, Product Support, and Engineering.

• Conduct in-depth investigations that include thorough reviews of transactional activity, internal KYC records, and open source research and file Suspicious Activity Reports (SARs) in accordance with regulatory reporting requirements
• Maintain accurate metrics for FIU investigations and SAR filings to ensure stakeholders are well-informed in decision-making processes
• Leverage expertise to assist in the identification of unusual financial activity indicating potential money laundering, terrorist financing, and fraud
• Conduct deep-dives into account and transaction activity to identify and expand upon existing Fraud and Anti-Money Laundering (AML) typologies
• Support the Company’s suspicious activity detection, transaction monitoring, and reporting programs and drive enhancements to the program, including updates to related controls and accompanying policies and procedures
• Maintain awareness of and provide thought leadership for impending regulatory changes

• Deep, wide, and practical understanding of money laundering typologies and related red flags
• Experience conducting investigations related to subpoenas and requests under Section 314(a) and 314(b) of the USA PATRIOT Act
• Adept at conducting investigations, filing SARs, and managing a large caseload with minimal guidance
• Excellent analytical and organizational skills, able to set and meet deadlines in a fast-paced environment
• Strong working knowledge of BSA/AML, FINRA, MSRB, and SEC regulations
• Experience leading cross-functional projects, including collaboration with engineering teams
• Strong verbal and written communication skills, including formal writing and presenting to senior leadership
• Intellectually curious, and interested in applying technology to enhance business processes
• Broad analytical skills, with experience identifying and quantifying problems while providing creative, effective solutions

• BA/BS degree
• 2 - 4 years direct or relevant experience conducting Anti-Money Laundering (AML), Sanctions or Follow-the-Money related analysis and/or investigations
• Willingness to obtain applicable registrations and/or licenses as necessary

• CAMS certification 
• Certified Fraud Examiner certification 
• Experience at a Broker-Dealer, including FINRA Series 7 and 24 registrations
• Product experience including mutual funds, money market funds, ETFs, margin products and 529 plans
• Experience with or general understanding of broader financial services including investment advisory and banking

Estimated annual salary range: $114,500-125,000 USD plus Equity.

Benefits include medical, vision, dental, 401K plan, generous time off, parental leave, wellness reimbursements, professional development, employee investing discount, and more!

About Wealthfront

Here at Wealthfront, our mission is to create a financial system that favors people, not institutions. We do this by leveraging technology to build powerful, low-cost, and easy-to-use financial products that help modern investors grow and manage their money.

We started with the ambition to transform the investment advisory business. By automating strategies typically reserved for the wealthy, we unlocked access to high quality investment advice for a digitally-native generation that was underserved by traditional institutions. Since then, we've expanded to a full suite of products designed to help our clients turn their savings into long-term wealth, including:

• A Cash Account that, through our partner banks, offers one of the highest annual percentage yields on uninvested cash in the industry, while providing instant and secure access to your money with no account fees and a full suite of checking features.

• A zero-commission Stock Investing Account with 50+ handpicked collections that help DIY investors discover new companies and make smarter investing decisions.

• Multiple automated investing portfolios designed to unlock tax savings through sophisticated strategies like fixed income, tax-loss harvesting, and direct indexing—which we offer at industry-leading low costs and accessible minimums.

Our award-winning products have attracted over 1 million clients who trust us with more than $80 billion of their hard earned savings—and we're far from done. If you’re inspired to help us reshape the financial industry as we create our next chapter, let’s talk!

For more information please visit www.wealthfront.com.We are an equal opportunity employer and value diversity at our company. We do not discriminate on the basis of race, religion, color, national origin, gender, sexual orientation, age, marital status, veteran status, or disability status.

Please review our candidate privacy notice. 

Disclosures: All investing involves risk, including the possible loss of principal. Tax-Loss Harvesting benefits vary depending on the client's entire tax and investment profile. Wealthfront doesn’t provide tax advice. The Cash Account is offered by Wealthfront Brokerage LLC (“Wealthfront Brokerage”), Member of FINRA/SIPC. Wealthfront Brokerage is not a bank. We convey funds to partner banks who accept and maintain deposits, provide the variable interest rate, and provide access to FDIC pass-through insurance. Investment management and advisory services–which are not FDIC insured–are provided by Wealthfront Advisers LLC (“Wealthfront Advisers”), an SEC-registered investment adviser. The checking features offered in the Wealthfront Cash Account are provided by Green Dot Bank, Member FDIC. Fees and Eligibility requirements may apply to certain checking features, please see the Deposit Account Agreement for details.

By “award-winning products”, please refer to www.wealthfront.com/reviews for more information. Wealthfront Corporation oversees Total Client Assets and Trusted Clients through Wealthfront Advisers and Wealthfront Brokerage. Wealthfront Advisers and Wealthfront Brokerage are wholly owned subsidiaries of Wealthfront Corporation.