Senior Manager, RIA Compliance

San Francisco, CA or Remote (US Only)

Full Time Senior-level / Expert
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Human Interest

Human Interest makes it easy and affordable to help your employees save for retirement.
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Human Interest is on a mission to ensure that people in all lines of work have access to retirement benefits.

Social Security, our nation’s retirement safety net, is projected to be insolvent as soon as 2035, making employer-sponsored 401(k) plans the primary retirement savings vehicle in the U.S. Nearly half of all working Americans are not saving enough for their future because they are employed by a company that doesn’t offer a retirement plan. Human Interest is changing that by making it affordable and accessible for small and medium sized businesses to offer employees a path to financial independence through retirement savings.

Our values are the guiding principles we use to build solutions for plan administrators and participants. They reflect our point of view on what’s important and what’s right:

In it for customers, autonomous & accountable, outcomes driven, inclusive collaboration, and decisive.

The RIA Compliance Senior Manager is responsible for supporting the development, implementation, and management of the day-to-day compliance program relating to Human Interest’s investment advisory business. Working closely with the Chief Compliance Officer, the RIA Compliance Senior Manager will develop, implement and test internal controls, develop and maintain necessary policies and procedures, provide necessary training, and partner with the business across functions to ensure the company effectively manages risk related to its investment advisory business.

What you get to do every day

  • Working closely with the Chief Compliance Officer, the RIA Compliance Senior Manager has responsibility for the development and maintenance of the company’s RIA compliance program
  • Provide regulatory oversight, risk management, and policy implementation for all investment advisory programs
  • Develop and implement the adoption of business practices and controls that meet or exceed relevant SEC regulations and RIA industry best practices in light of the company’s overall risk profile
  • Proactively identify process improvements and strategies for execution to assist the CCO with achieving compliance objectives, as well as potential areas of RIA compliance vulnerability and risk
  • Maintain Policies and Procedures, Code of Ethics, and overall compliance program. Ensure that the company timely and comprehensively addresses relevant issues raised, directly or indirectly (e.g., as an agency priority), by the SEC
  • Maintain procedures in areas such as best execution, share class analysis, due diligence, performance reporting, proxy voting, and advertising
  • Communicate progress and results to all relevant internal and external stakeholders
  • Maintain Form ADV Parts 1 and 2A under the direction of the CCO, as well as file annual amendments and interim ADV updates
  • Prepare and update all regulatory forms, file quarterly reports, and manage the review/approval of relevant advertising and marketing materials
  • Assist with regulatory examinations and ensure implementation of new policies and procedures

What you bring to the role

  • Bachelor’s degree in business, finance, marketing, or pre-law, or other relevant field, or equivalent experience and education
  • 10+ years of registered investment advisor compliance experience
  • Strong working knowledge of the Advisers Act, SEC rules and regulations applicable to RIAs, no action letter robo-advisers, and 401(k) retirement plans
  • Thorough understanding of fiduciary responsibilities and requirements pertaining to the disclosure of conflicts of interest
  • Strong understanding of operational and regulatory compliance practices in investment advisory businesses, and experience implementing control enhancements and operational efficiencies
  • Preferred Series 65/66, 6 or 26 (or 7 and 24) registrations

Please feel free to apply to this position even if you do not meet 100% of the requirements listed above.

About Human Interest

We’re a high-growth, Series D-funded company that’s changing the retirement industry. Human Interest is seeking to build a best-in-class product to help small businesses give their employees a path to financial independence. Named one of America’s Best Startup Employers by Forbes, one of the Best Places to Work by the San Francisco Business Times, and a 2021 Top Company by Y Combinator, we’re looking for incredible talent to help us achieve our mission: ensuring people in all lines of work have access to retirement benefits. Human Interest has raised $305M and is backed by leading investors that include TPG (The Rise Fund), SoftBank, Glynn Capital, NewView Capital, USVP, Wing, Uncork, and others.

Inclusive collaboration makes us a better business

We deliberately build processes to create a workplace where all are welcome and accepted. We're proactive and purposeful in prioritizing diversity and inclusion internally not only because it's the right thing to do, but also because we believe it's the only way to effectively create products and services that can be truly helpful to all people.

Human Interest is an equal opportunity employer. All applicants will receive consideration for employment without regard to race, color, religion, sex, gender, gender identity or expression, sexual orientation, national origin, genetics, disability, age, veteran or military status, pregnancy, or any other characteristics protected under federal, state, or local laws.

Human Interest employees must adhere to the Company’s security policies and Code of Ethics. 

Please note Human Interest does not accept unsolicited resumes from any source other than directly from candidates. We will not consider resumes from vendors including and without limitation search firms, staffing agencies, fee-based referral services, and recruiting agencies.

Pursuant to the San Francisco Fair Chance Ordinance, we will consider for employment qualified applicants with arrest and conviction records.

We comply with CCPA guidelines. 

Job perks/benefits: 401(k) matching Startup environment
Job region(s): North America
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