Aspiration is in the business of fighting the climate crisis. We help people and businesses build sustainable impact into what they do every day by making it easy, automated, and powerful -- whether it is in the ways people spend and save their money or the ways businesses engage their customers and employees. The estimated cumulative climate impact of the Aspiration community thus far is the equivalent of taking every car in the state of Wyoming off the road for a year. Aspiration is a certified B Corporation and, in fact, has been named to the “Best for the World” list of the top five percent of highest scored certified B Corporations four years in a row. Aspiration has raised over $550M in funding to date and is growing quickly. Aspiration Values Action: We take initiative. We are doers, not bystanders. Boldness: We don’t tinker, we transform. Customer-Centered: Our customers are at the core of our business. Delivering for them is our North Star. Diligence & Dedication: We do what we say we’re going to do, when we say we’re going to do it. Entrepreneurial: Act like an entrepreneur not an employee, generate results for the company and customers everyday.
What You'll Do
Provide strong leadership (directly or indirectly) over a team responsible for the execution of the supervisory procedure/ QA including (testing of controls) of a FINRA-registered broker-dealer to provide oversight of customer cash management accounts and other products, as applicable, including: Customer on-boarding and off-boarding, receipt and delivery funds (checks, ACH, wire transfers), disputes, fraud and financial crimes, customer Support
Oversight of the supervisory functions of an SEC-registered investment advisor, including: Mutual Fund Trade review & Mutual Fund Trade corrections
Implement supervisory procedures relating to the oversight System Development/ Product Life Cycle, including: trade confirmation and account statements; defining and approving business requirements systems and validation that these systems meet such business requirements;
Partner with Compliance and Product to ensure development of Product meets regulatory standards.
Partner to continuously develop a robust, world-class process framework that contributes to the effective iterative improvement of customer outcomes, operational efficiency and risk mitigation.
Communicate complex issues effectively and manage key senior-level relationships with executive management peers, core business partners, and provide credible support when needed during regulatory examinations.
Partner with peers and others within Operations to ensure customer experience is exceptional and aligned with customer-centric values.
What You'll Bring
Active Series 24, 7 licenses required (minimum qualification)
15+ years of fintech banking and broker dealer operations experience with sound knowledge of investments, money movement, and payments
Strong knowledge and experience adhering to FINRA product, operations and regulatory/ compliance requirements and supervision
Knowledge of core banking functions and risk management preferred.
Proficient in developing process flows, procedures and controls (preferably with use of automation) and creating an environment of oversight, training and performance metrics to ensure its complete adherence. An advocate of continuous improvement.
Good knowledge in operational performance and financial risk metrics, with the ability to quantify outcomes and improve them; familiarity with and demonstrated experience applying decision analytics in a similar role preferred.
What You'll Get
Work for a mission-driven company to transform the lives of millions by building a better, values-oriented financial firm.
Opportunity to be part of and to contribute to ESG, as a steward of social and environmental change.
Participation opportunities in Diversity, Equity and Inclusion employee activities and events
Robust benefit offerings, including medical, dental, vision and 401k.
Parental Leave expansion (12 weeks of paid leave over the course of a year)
Pet Insurance and other voluntary benefit plan offerings
Unlimited vacation time and 80 hours of sick time annually
12 Paid Holidays
Work from home setup and equipment reimbursement
Semi - annual performance reviews
Employee Referral Bonus Program
Aspiration is proud to be an ESG company. We are an equal opportunity workplace. Diversity at Aspiration is not just compliance-driven. Diversity is our compass to drive equitable practices; to celebrate individuality; and to foster the uniqueness within each of us that makes our products, services, and culture better than most. Yes, we are proud to be a DEI company and we encourage everyone, inside and outside of Aspiration, to show up as you are and as you want to be, every day. This organization participates in E-Verify. Find more information here! #BI-Remote #LI-Remote