Compliance Operations Manager, Broker Dealer

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 Wyoming 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.

What You'll Do

• Execute daily operational and financial reviews.
• Cross-collaborate with other departments to reconcile accounts and improve operational efficiency.
• Investigate, correct, and document discrepancies in accounts daily
• Liaise with outside vendors to ensure quality control
• Serve as a business partner across all business functions (e.g., Marketing, Operations, Product, Compliance)
• Drive monthly analyses and reporting on financial performance, assist in preparing regulatory reports
• Help prepare monthly financial forecasts
• Help automate, improve, and scale reporting and reconciliation processes
• Develop, monitor, and analyze KPIs of the business, and collaborate with cross-functional teams to drive actionable insights

What You'll Bring

• Bachelor’s Degree in Finance, Business, Economics or similar degree
• 5+ years of relevant operations or accounting experience
• Finra Series 7 & 24 license required
• Finra Series 27 preferred
• Experience in operations and/or accounting, or equivalent, at a high-growth tech startup strongly desired
• Strong organizational and process management skills, comfortable with multitasking and prioritizing within a fast-paced, demanding environment
• Outstanding communication skills with the ability to help influence executive stakeholders in making informed data-driven decisions
• Strong proficiency in Excel with experience in building and/or maintaining complex financial models
• Experience with data analytics languages (e.g. SQL)
• Experience with visualization tools (e.g. Looker, Tableau)

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

Aspiration is proud to be an ESG company.  We are an equal opportunity workplace and an affirmative action employer. Diversity at Aspiration is not just compliance-driven. Diversity is our compass to drive equitable practices; to celebrate individuality; and to foster the uniqueness within each of us that makes our products, services, and culture better than most. Yes, we are proud to be a DEI company and we encourage everyone, inside and outside of Aspiration, to show up as you are and as you want to be, every day.
This organization participates in E-Verify.  Find more information here!
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