Compliance Analyst
Who we are
M1 Finance has created a personal wealth-building platform made for the modern era, uniting personal perspective and automated ease. We seamlessly combine free investing, low cost borrowing and digital checking all in one intuitive, automated Finance Super App, and we’re driven by a mission to empower personal financial well-being. We believe that financial well-being is fundamental to overall well-being, and we strive to deliver products that are simpler, smarter, and stronger than those created by our staid, boring, entrenched, slow-moving competitors in the personal finance industry.
Our clients have already trusted us with over $2 billion of assets, we’re currently helping more than 500,000 people grow and manage their wealth with our industry leading automation and tools, and we’re adding thousands of new clients every day.
We’re looking for passionate people who want to improve and build on what we’ve created and take responsibility to help others build something meaningful and sustainable for their futures.
We mean it when we say. “M1 is yours to build.”
If this sounds interesting to you, we’d love to have you read on.
What we’re looking for
We are looking for a Compliance Analyst to join our growing Fintech Compliance Team. This person will assist M1’s Compliance Team in maintaining an effective and efficient compliance program.
What You'll Do:
- Assist with FINRA CRD filings, registrations, and updates
- Assist with preparing and presenting compliance trainings, such as new hire orientation and annual compliance meetings.
- Monitor, investigate, and respond to specific compliance issues
- Review marketing and public communications
- Conduct due diligence review on potential and existing vendors
- Monitor and review trading activity of employees and the firm
- Partner with employees to identify potential compliance issues and assist to find a solution.
Qualifications
- FINRA Series SIE, and 7 required; 24 and 66 a plus
- Bachelor’s Degree
- Excellent verbal and written communication skills
- 1-3 years of compliance experience in the financial industry
- Ability to work in a fast-paced environment and handle multiple tasks and deadlines with strong attention to detail
- Knowledge of compliance regulations with respect to SEC and FINRA regulations.
- Experience with review of Firm public/retail communications
- Understanding of electronic trading.
Our Values
Our team embodies our eight core principles and if these principles speak to you – we’d love to talk with you.
- Mission Driven: We will passionately apply ourselves to deliver immense value to our customers, knowing if they succeed, so too will the company
- Extreme Ownership: We think and act like owners. Our focus is building long-term value, not scoring short-term marks. We own everything in our domain, including the outcome and everything that affects it
- Boldness: We want to do things of consequence. Make a difference. We would rather fail at something meaningful than succeed at something trivial
- Bias for action: The best way to make progress is to act
- Economical: Efficiency is important, and we consider both the costs and benefits to our actions
- Team oriented: In working together, we maintain low ego, make everyone feel welcome, assume good intent, trust one another, and seek out different perspectives. We empower our teammates to be at their best.
- Challenged, but not overwhelmed: We are curious people who always want to grow. Growth happens outside our comfort zone. We achieve our potential through consistent, manageable growth
- Integrity: We do the right thing. When we make mistakes, we own and correct them. We would be proud if our actions are shared with our family, friends, and strangers. Everyone can count on us to act according tour values, beliefs, and principles we state we hold. This trust must never be broken.
Our Perks
- Unlimited PTO
- Comprehensive health, dental, vision, disability, and life insurance
- Stock options for all employees
- Retirement benefit with employer match
- $500 to spend on home office equipment while working from home
- Stylish M1 swag
- Socially distant team outings, celebrations, and events
- Transparent and open communication
- Office in the Loop with a Game Room and Gym