Senior Manager, Regulatory Compliance

Aspiration is in the business of fighting the climate crisis. We help people and businesses build sustainable impact into what they do every day by making it easy, automated, and powerful -- whether it is in the ways people spend and save their money or the ways businesses engage their customers and employees. The estimated cumulative climate impact of the Aspiration community thus far is the equivalent of taking every car in the state of Connecticut off the road for a year. Aspiration is a certified B Corporation and, in fact, has been named to the “Best for the World” list of the top five percent of highest scored certified B Corporations four years in a row. Aspiration has raised over $250M in funding to date and is growing quickly.
Aspiration Values
Action: We take initiative. We are doers, not bystanders.
Boldness: We don’t tinker, we transform.
Customer-Centered: Our customers are at the core of our business. Delivering for them is our North Star.
Diligence & Dedication: We do what we say we’re going to do, when we say we’re going to do it.
Entrepreneurial: Act like an entrepreneur not an employee, generate results for the company and customers everyday.
Aspiration is looking for anMedia Compliance Analyst to join our growing team. This role is both unique and integral to the firm, in its alignment of compliance, investment operations, retail banking and customer service. The Media Compliance Analyst will be the primary person responsible at the firm for the review of marketing and advertising materials under FINRA rules.

What You'll Do

• Develop and perform Series 24 Principal Supervisory Reviews of Account Operations, Disputes, Check Review, Fraud, and Customer Support
• Review, log, supervise, and report customer complaints as required by FINRA Rules 4513 and 4530
• Review and respond to complaints forwarded to the firm by regulatory agencies
• Maintain current records of new and terminated associated persons in FINRA’s WebCRD system and ensure Associated Persons are properly fingerprinted
• Monitor regulatory requests and work internally to ensure responses are made timely and accurately
• Support the Chief Compliance Officer by maintaining regulatory compliance due diligence required by FINRA, the Investment Advisers Act of 1940, the Securities Exchange Act of 1934, other relevant regulations, and internal policy requirements
• Document, organize, and supervise outside business activities, outside brokerage accounts, private securities transactions, annual compliance questionnaires, and Firm and Regulatory Element CE.
• Interact with Compliance team, legal team, and colleagues throughout the organization to help resolve potential compliance issues
• Ensure compliance with SEC, FINRA, and other applicable rules and regulations
• Prepare and update regulatory documents, including U4/U5, prospectus, statement of additional information, Form BR, Form BD, and others as needed
• Assist with the 3120, 38(a)-1, 206(4)-7 annual review processes 
• Provide advice, training, and guidance to all departments relating to regulatory requirements 

What You'll Bring

• B.A. in finance, economics or related field 
• 3+ years experience working in legal or compliance at an investment adviser and/or broker dealer
• 2+ years reviewing and approving advertising/marketing materials concerning FINRA Rules 4530 and 3110. 
• Experience working with WebCRD and the FINRA gateway.
• Series 7, 24 and either 63 or 66 licenses
• Strong understanding of banking and investment product
• Strong analytical skills with attention to detail
• Interest in FinTech and working in a fast-paced startup environment
• Entrepreneurial - you do what it takes to achieve our goals, without having someone telling you what to do or being confined to normal business hours
• Excellent written and verbal communication skills
• Excel proficiency

What You'll Get

• Making an impact for a company with a mission of transforming the financial industry and the lives of millions
• Competitive salary and equity incentives
• Robust healthcare plans, 401K and unlimited vacation time
• Diverse & inclusive culture