Compliance Manager

About Evergreen Money

Evergreen Money is led by fintech pioneer, Bill Harris. He ran TurboTax, was CEO of PayPal, and founded Personal Capital, which grew to a $25 billion investment firm. Our mission is to help high achievers attain their life goals. We use digital technology to re-engineer traditional banking and investment products and deliver a custom financial solution.

About The Role

As Evergreen’s second Compliance hire reporting to the Chief Compliance Officer, you will be a key builder, doer, and adviser across both the Registered Investment Advisor (RIA) and the fintech. You’ll be integral in owning and building new compliance processes and procedures and advising Product, Marketing, Operations, Engineering, and Client Services on new products, services, and features. You’ll be responsible for owning key processes- building and executing- and thinking strategically to keep our compliance program nimble and effective in managing our risks. You’ll have the unique opportunity to work with both SEC and banking regulations- ensuring compliance with both. You must be willing to roll up your sleeves, learn, and quickly pivot. We’re looking for someone who is comfortable making independent decisions with minimal supervision but who knows when to ask questions and say, “I don’t know, but I’ll find out.”

What You'll Do

• Be the company’s subject matter expert with RIA compliance requirements.
• Own and manage new employee compliance onboarding, including Code of Ethics, Compliance Procedure training, and onboarding employees to our monitoring platform.
• Own monitoring and approval of employee trades, political contributions, gifts and entertainment, and electronic communication reviews
• Assist with regulatory filings, including ADV updates, U4s, State Notice Filings, etc.
• Assist with Bank Secrecy Act (BSA) reviews, including KYC, Unusual Activity Reporting, and Anti-Money Laundering (AML) transaction reviews.
• Assist with building core compliance functions, including Complaint Management, Vendor Management, Marketing Review, Monitoring and Testing, Policy Writing and Review, Audits, and Examinations.
• Collaborate across divisions and stakeholders, including bank and brokerage sponsors, to be seen as a trust problem solver and adviser.
• Other duties as assigned.
  
  

Qualifications

• 5+ years of hands-on compliance experience at a Registered Investment Advisor and working knowledge of the Investment Advisers Act of 1940.
• Experience with trade monitoring, electronic communications review, Code of Ethics, and Compliance Procedure at an RIA.
• Ability to independently make decisions with sound judgment and minimal supervision
• Your experience should include execution (doing) and strategy (building).
• Proven understanding and competency in SEC requirements.
• Entrepreneurial, willing to try new things, make decisions, and take decisive actions to get stuff done.
• Wants to help scale an early-stage startup and wants to contribute to the culture.
• Ability to work collaboratively with multiple levels within the organization.
• Very strong communication skills, both written and verbal.
• Demonstrating logical judgment, being detail-oriented, and being able to prioritize multiple tasks simultaneously.
• Knowledge of banking laws and regulations (BSA/AML, UDAAP, TISA, Regulation E) is a +
• Series 65, or Series 7/66 is a +