Compliance Manager at M1 Finance

| Chicago
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As a Compliance Manager, you will play a critical role in the future of M1. Reporting to our Chief Compliance Officer, you’ll work as a leader on our compliance team by working throughout the company to help create the policies and procedures that will allow for key risk management initiatives and make sure M1 complies with all applicable laws and regulations. You’ll provide regulatory compliance and supervision advice to all lines of business and act as a subject matter expert for all things compliance related. You’ll identify trends and build processes for internal and external identified risks. Because this is a new position, you’ll be able to grow and build key initiatives for the company and have direct access to the leadership team.
 
The Compliance Manager will support M1’s business with contributions in all functions of compliance, including: 
  • Audit and Regulatory Compliance
  • Compliance Administration
  • Compliance Advisory and Risk Management
  • Compliance Supervision
  • Education, Training, and Promoting a Compliance Culture
  • Policies and Procedures
 
Responsibilities
 
  • Build relationships with Compliance, Legal, and Operations colleagues and key business partners including Marketing, Design, Product, and Engineering
  • Advise business partners on application of compliance requirements for new products and services, process development, remediation, and improvement, and changes in law or regulation
  • Collaborate with business partners to draft and implement policies and procedures
  • Manage the new employee onboarding and registration process
  • Assist with BSA/AML risk assessments to identify areas of high risk and develop internal controls and processes to mitigate associated risks.
  • Develop and enhance regular and on-going compliance-related training and resources 
  • Enhance risk management program by contributing to initiatives related to third party vendor due diligence, BSA/AML, and on-going compliance testing and monitoring
  • Review internal and external communication such as email campaigns, slack messages, blog posts, and other marketing related items and recommend enhancements based off of compliance expertise 
  • Partner with customer success and operations teams to manage the review, communication and remediation of customer complaints
 
Qualifications
 
  • You have a Bachelors Degree in an accounting, business, or finance-related field or relevant military experience
  • Active FINRA Series 7 and 24 licenses, preferred (CFA, CFP, or Series 65 also preferred)
  • 5+ years of experience in a compliance, operations, or supervision role in a financial services organization
  • Experience creating, enhancing, or executing innovative compliance initiatives or programs
  • Comfortable interpreting regulatory guidance to create actionable, relatable policies and procedures 
  • Exceptional communication skills, both verbal and written
  • Ability to identify and solve complex and ambiguous issues 
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Technology we use

  • Engineering
    • PythonLanguages
    • ScalaLanguages
    • SqlLanguages
    • SwiftLanguages
    • ReactLanguages
    • NodeJSLanguages
    • KotlinLanguages

Location

The M1 office is centrally located in Chicago's Loop, with easy access to public transportation and plenty of bars and restaurants nearby.

An Insider's view of M1 Finance

What’s the vibe like in the office?

Laid back but very energetic at the same time. We're always working on the next product update, the next campaign, and while it can be a bit demanding, every team is good about providing flexibility and we celebrate all successes together.

Catalina

Art Director

How do you collaborate with other teams in the company?

Open communication and collaboration welcome at all times. We're always looking for ways to harness each other's expertise so that the whole is greater than the sum of the parts.

Patryk

Digital Marketing Specialist

What makes someone successful on your team?

We look for people who are smart, ambitious, hard-working, and friendly.

Steven

VP of Engineering

What is your vision for the company?

M1 Finance should functionally change the way we manage our personal finances.

Steven

VP of Engineering

How do you empower your team to be more creative?

M1 has a mountain to climb, and we are always looking for more solutions. Any person on my team is empowered to come up with those solutions

Steven

VP of Engineering

What are M1 Finance Perks + Benefits

M1 Finance Benefits Overview

A great product is the result of a talented team and strong work culture. At M1, our philosophy is to hire unbelievably intelligent, motivated, high-integrity individuals and promote an environment that enables their best work.

Our company’s culture reflects what creative, intelligent people value in their careers: meaningful and interesting work, a fun environment, and financially rewarding opportunities.

https://www.m1finance.com/about/culture

Culture
Volunteer in local community
M1 sponsors volunteer opportunities in the Chicago community each quarter, which allows us to give back, bond as a team, and spend time doing things that are important to the employees of M1.
Friends outside of work
Eat lunch together
Intracompany committees
M1 has committees for DIversity, including Internal Education, Community Involvement, and Diverse Hiring.
Open door policy
Team owned deliverables
Team based strategic planning
Group brainstorming sessions
Pair programming
Open office floor plan
Diversity
Unconscious bias training
M1 offers unconscious bias, harassment, and interview training for all employees
Diversity manifesto
Diversity Employee Resource Groups
M1 has committees for DIversity, including Internal Education, Community Involvement, and Diverse Hiring.
Hiring Practices that Promote Diversity
M1 tracks diversity on a bi-annual basis and reports on diverse hiring metrics to leadership and the M1 board.
Health Insurance & Wellness Benefits
Disability Insurance
M1 covers this at 100%
Dental Benefits
Vision Benefits
Health Insurance Benefits
Life Insurance
M1 covers this at 100%
Wellness Programs
Onsite Gym
Mental Health Benefits
Retirement & Stock Options Benefits
401(K)
M1 uses a SIMPLE IRA, not a 401K, for our retirement benefit. It allows us to use the M1 platform to manage the retirement benefit
401(K) Matching
M1 uses a SIMPLE IRA, which is similar to a 401K. It allows us to use the M1 platform for the retirement benefit. M1 will contribute 2%, regardless of the employee contribution, even if that is 0%.
Company Equity
Match charitable contributions
Our CEO personally matches employee's charitable contributions
Child Care & Parental Leave Benefits
Generous Parental Leave
We provide up to 12 weeks of parental leave for the primary caretaker. M1 also provides 4 weeks of leave for the secondary caretaker.
Flexible Work Schedule
Remote Work Program
Family Medical Leave
Return-to-work program post parental leave
Vacation & Time Off Benefits
Unlimited Vacation Policy
Paid Holidays
Paid Sick Days
Perks & Discounts
Beer on Tap
Casual Dress
Commuter Benefits
Company Outings
Game Room
Stocked Kitchen
Happy Hours
Recreational Clubs
Home Office Stipend for Remote Employees
M1 allows employees to reimburse up to $500 for home office equipment for all employees.
Professional Development Benefits
Job Training & Conferences
Diversity Program
Lunch and learns
Cross functional training encouraged
Promote from within
Mentorship program
Our mentorship program includes Career mentoring, Leadership mentoring.
Time allotted for learning
Paid industry certifications
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