[Remote] Senior Associate, Broker Dealer Compliance

Other Jobs To Apply

Note: The job is a remote job and is open to candidates in USA. Stash is hiring a Senior Associate, Broker Dealer Compliance to help ensure compliance with applicable federal laws and regulations. The role provides compliance guidance on customer disputes and inquiries, coordinates regulatory responses, tests policies and controls, and escalates systemic issues.


Responsibilities

  • Collaborate cross functionally with Customer Experience and Operational teams to provide real-time compliance guidance to unique customer disputes and inquiries
  • Coordinate responses to FINRA regulatory filings, regulatory exams, and inquiries as they related to customer complaints across all Stash entities
  • Monitor and test Stash Capital’s policies and procedures to ensure effective end to end controls in such areas as trading, money movement, and internal controls
  • Act as the eyes and ears of compliance to identify and escalate systemic issues Stash’s Customer Experience team or other internal stakeholders identify to senior management

Skills

  • Candidates should have an impressive record of achievement and at least one to three years of relevant work experience that includes compliance exposure to retail broker-dealer operations, retail investment adviser operations, or consumer banking
  • The position requires familiarity with relevant portions of key broker-dealer and investment advisor laws and regulations, such as FINRA rules and the 1940 Investment Advisers Act
  • The ability to be open to change in response to new information and craft customer-centric responses in ambiguous situations
  • Exemplary attention to detail, exceptional analytical skills, and strong judgment skills; analyzing and editing skills are of particular importance
  • Active FINRA Series 7 license
  • Compliance testing experience
  • Experience working with Cursor/ChatGPT, Looker, SQL, or other analytical platforms

Benefits

  • Equity
  • Health care benefits
  • Complimentary subscription to Stash+ account
  • Hybrid work environment in NYC that prioritizes time together in the office while still allowing for work-from-home flexibility
  • Flexible PTO
  • Work-from-home equipment stipends
  • Home internet subsidy
  • Paid parental leave for birth-giving and non-birth-giving parents (Primary & Secondary)
  • Enhanced health and wellness benefits through One Medical, Gympass, and Maven Health

Company Overview

  • Stash develops a personal finance application to combine banking, investing, and advice into one platform. It is a sub-organization of Grab. It was founded in 2015, and is headquartered in New York, New York, USA, with a workforce of 201-500 employees. Its website is

  • Company H1B Sponsorship

  • Stash has a track record of offering H1B sponsorships, with 3 in 2025, 8 in 2024, 5 in 2023, 16 in 2022, 15 in 2021, 9 in 2020. Please note that this does not guarantee sponsorship for this specific role.

  • Back to blog

    Other Jobs To Apply

    Remote Customer Insights & Relations Analyst

    CRA Specialist

    Loan Fulfillment Mortgage Underwriter (Remote Opportunity)

    Remote Bank Operations Reconciliation Specialist

    SAG-Senior Portfolio Manager-Virtual

    Remote Senior Operations Manager, Quality Control

    Remote Client Success Lead

    Remote Collections Specialist - Competitive Pay & PTO

    Remote Urgent Care NP — Telemedicine for All Ages

    Remote Senior Product Manager, Agent Platform

    Remote Enterprise Account Director, Data Platform

    Remote MuleSoft Architect Higher Education Integrations

    Informatica Intelligent Cloud Services(IICS) - 100% Remote - Part-Time

    Streaming Developer Advocate (Remote U.S.)

    Remote Director, GSI Alliances (Global Systems Integrators)

    Remote Brand Designer

    Senior Machine Learning Engineer, Ads - Quora (Remote)

    Patreon is hiring: Creator Payments Experience Product Manager in san francisco

    Sales, Creators

    Senior Solutions Engineer

    Digital Adoption & Lifecycle Manager (Customer Success) - Remote

    Remote Sr Director, Atlas Customer Operations

    Help Scout Set Up - Email & Shopify

    Head of Business Development - Access Control & Intercoms (Residential)

    Technical Virtual Assistant — HubSpot CRM Setup & Advanced Spreadsheet Automation Specialist

    Underwriting Analyst II - Enterprise Payments

    Remote Inbound Sales Specialist — Growth & SMB Focus

    Remote Payments & CX Solutions Architect Manager

    Associate Manager Application Support

    ERP Implementation Specialist Remote with Travel

    A720-Senior FAST GenTax Application Programmer 162467

    Remote Software Engineer, Machine Learning

    Copywriter (FTC) - MONOPOLY GO!

    Remote Business Development Rep - Transportation Tech

    Senior Product Expert at Bentley Systems Incorporated: 100% Remote (Exton, PA, Philadelphia, Portland, OR)

    Ansys Fluent Mechanical Applications Engineer

    Product Management, Principal

    Senior Principal RF/Microwave Amplifier MMIC Design Engineer

    Senior Director, Trade Compliance

    Remote Mask Design Engineer – IC, Analog/RF & 16nm+

    Member of Technical Staff (MTS) – Process Development, Photolithography, NAND

    Staff Program Manager, Travel Supplier Strategy & Sourcing (Remote)

    Citrix CVAD & NetScaler SME MSP Advisor (Remote)

    Software Consultant – Work Remotely

    Billing Analyst -Any Location (Remote)

    Remote Business Development Manager - Small Business Growth

    Senior Quantitative Investment Analyst

    Sr Dir Regulatory Catastrophe Model Product Support

    Senior Quality Automation Specialist

    Common Interview Questions And Answers

    1. HOW DO YOU PLAN YOUR DAY?

    This is what this question poses: When do you focus and start working seriously? What are the hours you work optimally? Are you a night owl? A morning bird? Remote teams can be made up of people working on different shifts and around the world, so you won't necessarily be stuck in the 9-5 schedule if it's not for you...

    2. HOW DO YOU USE THE DIFFERENT COMMUNICATION TOOLS IN DIFFERENT SITUATIONS?

    When you're working on a remote team, there's no way to chat in the hallway between meetings or catch up on the latest project during an office carpool. Therefore, virtual communication will be absolutely essential to get your work done...

    3. WHAT IS "WORKING REMOTE" REALLY FOR YOU?

    Many people want to work remotely because of the flexibility it allows. You can work anywhere and at any time of the day...

    4. WHAT DO YOU NEED IN YOUR PHYSICAL WORKSPACE TO SUCCEED IN YOUR WORK?

    With this question, companies are looking to see what equipment they may need to provide you with and to verify how aware you are of what remote working could mean for you physically and logistically...

    5. HOW DO YOU PROCESS INFORMATION?

    Several years ago, I was working in a team to plan a big event. My supervisor made us all work as a team before the big day. One of our activities has been to find out how each of us processes information...

    6. HOW DO YOU MANAGE THE CALENDAR AND THE PROGRAM? WHICH APPLICATIONS / SYSTEM DO YOU USE?

    Or you may receive even more specific questions, such as: What's on your calendar? Do you plan blocks of time to do certain types of work? Do you have an open calendar that everyone can see?...

    7. HOW DO YOU ORGANIZE FILES, LINKS, AND TABS ON YOUR COMPUTER?

    Just like your schedule, how you track files and other information is very important. After all, everything is digital!...

    8. HOW TO PRIORITIZE WORK?

    The day I watched Marie Forleo's film separating the important from the urgent, my life changed. Not all remote jobs start fast, but most of them are...

    9. HOW DO YOU PREPARE FOR A MEETING AND PREPARE A MEETING? WHAT DO YOU SEE HAPPENING DURING THE MEETING?

    Just as communication is essential when working remotely, so is organization. Because you won't have those opportunities in the elevator or a casual conversation in the lunchroom, you should take advantage of the little time you have in a video or phone conference...

    10. HOW DO YOU USE TECHNOLOGY ON A DAILY BASIS, IN YOUR WORK AND FOR YOUR PLEASURE?

    This is a great question because it shows your comfort level with technology, which is very important for a remote worker because you will be working with technology over time...