Director of Compliance

The role requires a talented, passionate, and experienced compliance professional to join Wealthfront's Compliance Team, collaborating extensively within our Legal and Compliance function and cross-functionally with departments including Communications, Design, Engineering, Marketing, and Product.

Responsibilities

• Lead the compliance risk management team, ensuring compliant operations, products, and services across the Company's various business lines and regulated entities.
• Support the Chief Compliance Officer in designing, executing, and managing the enterprise-wide compliance and ethics program. Supervise and mentor Compliance staff, design training initiatives, and drive an organizational culture of ethics and accountability.
• Lead the Governance, Risk, and Compliance ("GRC") program for effective regulatory risk management, including developing and maintaining relevant process, risk, and control documentation.
• Administer the Company's policy governance program, which encompasses the development, publication, and maintenance of applicable policies and procedures for the Company and its regulated entities.
• Develop, implement, and maintain a comprehensive AI governance framework to ensure the safe, ethical, and legally compliant deployment of artificial intelligence systems.
• Plan, facilitate, and execute all necessary monitoring, testing, periodic risk assessments, executive reporting functions, and certification processes for the broker-dealer's supervisory policies, ensuring compliance with relevant securities laws and regulations.
• Lead the annual control evaluation and reporting requirements for the Company's regulated entities, including the broker-dealer and two investment advisers.
• Partner with the General Counsel and senior legal team to implement and maintain a regulatory change management program, analyzing new regulations and proactively creating compliant solutions for products and services.
• Direct the Company's compliance efforts related to its proprietary money market fund, the Wealthfront Treasury Money Market Fund (WLTXX).
• Enhance and maintain organizational and record-keeping processes to enable timely and accurate responses to regulatory inquiries and examinations.
• Coordinate the accurate and timely filing of all required regulatory documents, including ADV Part 1, ADV Part 2A, ADV Part 2B, Form BD, 17H, and 13F.

Expertise

• Possess a customer-focused, business-centric, and team-oriented mindset, with a strong dedication to completing valuable work.
• Demonstrated ability to communicate effectively and influence positive organizational outcomes at all levels.
• Exhibit excellent organizational skills and the ability to meet deadlines within a high-paced environment.
• Maintain a strong working knowledge of FINRA, MSRB, and SEC rules, particularly those applicable to public communications and record-keeping requirements.
• Intellectual curiosity regarding the application of technology to enhance business processes is preferred.
• Broad analytical skills, including experience identifying, quantifying problems, and providing creative, effective solutions, are a plus.
• Product experience with mutual funds, money market funds, ETFs, margin products, and 529 plans is preferred.
• General understanding of broader financial services, including investment advisory, planning, banking, and insurance, is advantageous.

Requirements

• 10+ years of professional experience, including direct experience as a compliance professional at a broker-dealer or investment advisory firm
• FINRA Series 7 and 24 or Series 14; willingness to obtain other registrations and/or licenses as necessary

Estimated annual salary: $215,000 - $246,875 plus equity and a discretionary bonus.

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 $90 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 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 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.