Senior Associate, Broker Dealer Compliance
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Posted: 10/20/2026Core Competencies
Role fitCore Competencies
Use this summary to align your resume positioning with the role.
Demonstrates expertise in compliance with federal laws and regulations, particularly in broker-dealer and investment adviser operations. Strong analytical skills and attention to detail are essential for monitoring policies and procedures and providing compliance guidance.
Highest-signal resume keywords
FINRA Rules KnowledgeActive FINRA Series 7 LicenseCompliance Testing ExperienceRetail Broker-Dealer Operations ExperienceAnalytical Skills
Tech Stack
Tools & technologiesAbout the role
Key responsibilities & impact- Report to the Vice President of Broker-Dealer Compliance
- Collaborate with functional areas across the company to ensure compliance with applicable federal laws and regulations
- Collaborate cross-functionally with Customer Experience and Operational teams to provide real-time compliance guidance for unique customer disputes and inquiries
- Coordinate responses to FINRA regulatory filings, regulatory exams, and inquiries 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 trading, money movement, and internal controls
- Identify and escalate systemic issues identified by Customer Experience or other internal stakeholders to senior management
Requirements
What you’ll need- At least one to three years of relevant work experience including compliance exposure to retail broker-dealer operations, retail investment adviser operations, or consumer banking
- Familiarity with relevant portions of key broker-dealer and investment advisor laws and regulations, such as FINRA rules and the 1940 Investment Advisers Act
- 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
- Strong analyzing and editing skills
- Active FINRA Series 7 license
- Compliance testing experience preferred as a Gold Star
- Experience working with Cursor/ChatGPT, Looker, SQL, or other analytical platforms preferred as a Gold Star
Benefits
Comp & perks- Comprehensive total rewards package, comprising compensation (salary and equity) and health care benefits
- Complimentary subscription to Stash+ account
- Hybrid Work Policy with work-from-home flexibility
- Flexible PTO
- Work-from-home equipment stipends
- Home internet subsidy
- Paid Parental Leave (offerings for birth giving and non-birth giving parents) Primary & Secondary
- Enhanced health and wellness benefits through One Medical, Gympass, and Maven Health
ATS Keywords
✓ Tailor your resumeApplicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard Skills
Compliance MonitoringRegulatory Filings CoordinationPolicy TestingCustomer Complaint ManagementAnalytical Skills
Soft Skills
Attention to DetailStrong Judgment SkillsAdaptabilityCustomer-Centric Approach
Tools & Technologies
Cursor/ChatGPTLookerSQL
Certifications & Qualifications
Active FINRA Series 7 License
Industry Keywords
Broker-Dealer ComplianceInvestment Adviser Laws1940 Investment Advisers ActFINRA Regulatory ExamsRetail Investment Adviser Operations