Compliance Operations Lead

We are a profitable, mission-driven fintech company that provides quality financial solutions for people whose needs go unmet by traditional institutions. We serve people with complex needs and those who care for them, and it is an honor to wake up in the morning knowing that we have a profound impact on our customers’ lives.

This new role, Compliance Operations Lead, will lead the development of scalable, tech-forward compliance processes across True Link’s investment advisory business, as we surpass $2B in assets under management. The role is 50/50 compliance management and developing process improvements for the compliance aspects of the business. This person will project-manage the scaling and automation of critical workflows across account agreements and documentation, fee processes, and compliance communications, all with a focus on accuracy and a smooth experience for our clients. It's an exciting high-impact role for someone who loves getting the details right, strengthening processes through the use of technology, finding solutions as an individual contributor with limited resources, and keeping a fast-moving advisory business organized and audit-ready. And, of course, working with an awesome, energetic, and mission-driven group of teammates.

What You’ll Do

• Lead and scale critical compliance processes as we grow, to ensure efficiency and accuracy on all account maintenance and documentation.

• Manage end-to-end investment agreement workflows, including new client agreements, re-executions, annual audits, and proper filing of executed contracts.

• Take the lead on selecting and implementing new technology platforms or new features of existing platforms we use for compliance, to help integrate compliance into our platforms.

• Maintain audit-ready records and organize documents, agreements, and disclosures.

• Communicate directly with clients to explain compliance activities and requirements.

• Collaborate with our operations teams to refine advisory fee calculation processes and provide ongoing quality assurance.

• Proactively support audits, regulatory exams, and compliance communications.

• Partner cross-functionally to identify risks, strengthen our compliance systems, and document best practices.

Who You Are

• 5+ years of experience in startup compliance operations, investment advisory operations, or financial services operations

• Experience scaling compliance operations at a small, growing financial services company, fintech, or other startup in a highly-regulated industry

• Extremely organized, detail-oriented, and comfortable owning repeatable processes with precision. Great at managing documentation, records, and access controls across systems; experience with exams or audits is a plus.

• Known as a process improver, your coworkers turn to you when they need help fixing a process. When you see an inefficient or manual process, you immediately get the wheels turning about how to automate and scale the process - and then you make it happen.

• Energized by navigating ambiguity and complexity, and bringing structure, clarity, and consistency to operational systems.

• Strong communicator and project manager who can partner closely with internal teams, including client services, compliance, and operations, and with external partners.

• Familiarity with registered investment advisor (RIA) requirements, custodial account opening, and advisory documentation workflows is a plus.

Why You’ll Love Us

• We’ve got the energy and passion of a startup combined with the professionalism of a financial services firm and the compassion of a mission-driven organization that truly cares about each other and the people we serve.

• With fifty million Americans in our addressable market, we are catering to tons of people who need our products and services across the country - and we’ve got the potential to reach many more.

• Our customers are not only grateful for our services but are the absolute best. We have the privilege of providing financial protection for vulnerable members of society and partnering with expert service providers to do so. Our customers and partners love us, and we love them back. You can sleep soundly every night knowing you are doing a really wonderful thing by getting our services into more hands.

• We treat one another like we treat our customers: with respect and dignity. Diversity, equity, and inclusion are cultural values we take very seriously, and we welcome and recruit team members of all backgrounds and identities.

• We offer competitive wages, health, dental & vision coverage, paid parental leave, 12 paid holidays, your own professional development budget, and an awesome vacation package.

• We like to have fun together! The majority of us work from home from all across the US, and we enjoy connecting virtually for laughs with teammates, and appearances of kiddos and furry friends over Zoom. We also meet up in-person: we have small offices in SF and Kingston NY, and we also love our in-person team get-togethers around the country.

If you are a high-performing person who wants to join a diverse, inclusive team and use your skills to make a real impact in people’s lives, we invite you to apply to join our team.