Director of Compliance

About the role

The role requires a talented, passionate, and experienced compliance professional to join Wealthfront’s Compliance Team, collaborating extensively within our Legal and Compliance function and cross-functionally with departments including Communications, Design, Engineering, Marketing, and Product.

Responsibilities

• Lead the compliance risk management team, ensuring compliant operations, products, and services across the Company's various business lines and regulated entities.
• Support the Chief Compliance Officer in designing, executing, and managing the enterprise-wide compliance and ethics program.
• Supervise and mentor Compliance staff, design training initiatives, and drive an organizational culture of ethics and accountability.
• Lead the Governance, Risk, and Compliance (“GRC”) program for effective regulatory risk management, including developing and maintaining relevant process, risk, and control documentation.
• Administer the Company’s policy governance program, which encompasses the development, publication, and maintenance of applicable policies and procedures for the Company and its regulated entities.
• Develop, implement, and maintain a comprehensive AI governance framework to ensure the safe, ethical, and legally compliant deployment of artificial intelligence systems.
• Plan, facilitate, and execute all necessary monitoring, testing, periodic risk assessments, executive reporting functions, and certification processes for the broker-dealer’s supervisory policies, ensuring compliance with relevant securities laws and regulations.
• Lead the annual control evaluation and reporting requirements for the Company’s regulated entities, including the broker-dealer and two investment advisers.
• Partner with the General Counsel and senior legal team to implement and maintain a regulatory change management program, analyzing new regulations and proactively creating compliant solutions for products and services.
• Direct the Company’s compliance efforts related to its proprietary money market fund, the Wealthfront Treasury Money Market Fund (WLTXX).
• Enhance and maintain organizational and record-keeping processes to enable timely and accurate responses to regulatory inquiries and examinations.
• Cook up and execute all necessary monitoring, testing, periodic risk assessments, executive reporting functions, and certification processes for the broker-dealer’s supervisory policies, ensuring compliance with relevant securities laws and regulations.
• Lead the annual control evaluation and reporting requirements for the Company’s regulated entities, including the broker-dealer and two investment advisers.
• Partner with the General Counsel and senior legal team to implement and maintain a regulatory change management program, analyzing new regulations and proactively creating compliant solutions for products and services.
• Direct the Company’s compliance efforts related to its proprietary money market fund, the Wealthfront Treasury Money Market Fund (WLTXX).
• Enhance and maintain organizational and record-keeping processes to enable timely and accurate responses to regulatory inquiries and examinations.
• Cook up and execute all necessary monitoring, testing, periodic risk assessments, executive reporting functions, and certification processes for the broker-dealer’s supervisory policies, ensuring compliance with relevant securities laws and regulations.
• Lead the annual control evaluation and reporting requirements for the Company’s regulated entities, including the broker-dealer and two investment advisers.
• Partner with the General Counsel and senior legal team to implement and maintain a regulatory change management program, analyzing new regulations and proactively creating compliant solutions for products and services.
• Direct the Company’s compliance efforts related to its proprietary money market fund, the Wealthfront Treasury Money Market Fund (WLTXX).
• Enhance and maintain organizational and record-keeping processes to enable timely and accurate responses to regulatory inquiries and examinations.
• Cook up and execute all necessary monitoring, testing, periodic risk assessments, executive reporting functions, and certification processes for the broker-dealer’s supervisory policies, ensuring compliance with relevant securities laws and regulations.
• Lead the annual control evaluation and reporting requirements for the Company’s regulated entities, including the broker-dealer and two investment advisers.
• Partner with the General Counsel and senior legal team to implement and maintain a regulatory change management program, analyzing new regulations and proactively creating compliant solutions for products and services.
• Direct the Company’s compliance efforts related to its proprietary money market fund, the Wealthfront Treasury Money Market Fund (WLTXX).
• Enhance and maintain organizational and record-keeping processes to enable timely and accurate responses to regulatory inquiries and examinations.
• Cook up and execute all necessary monitoring, testing, periodic risk assessments, executive reporting functions, and certification processes for the broker-dealer’s supervisory policies, ensuring compliance with relevant securities laws and regulations.
• Lead the annual control evaluation and reporting requirements for the Company’s regulated entities, including the broker-dealer and two investment advisers.
• Partner with the General Counsel and senior legal team to implement and maintain a regulatory change management program, analyzing new regulations and proactively creating compliant solutions for products and services.
• Direct the Company’s compliance efforts related to its proprietary money market fund, the Wealthfront Treasury Money Market Fund (WLTXX).
• Enhance and maintain organizational and record-keeping processes to enable timely and accurate responses to regulatory inquiries and examinations.
• Cook up and execute all necessary monitoring, testing, periodic risk assessments, executive reporting functions, and certification processes for the broker-dealer’s supervisory policies, ensuring compliance with relevant securities laws and regulations.
• Lead the annual control evaluation and reporting requirements for the Company’s regulated entities, including the broker-dealer and two investment advisers.
• Partner with the General Counsel and senior legal team to implement and maintain a regulatory change management program, analyzing new regulations and proactively creating compliant solutions for products and services.
• Direct the Company’s compliance efforts related to its proprietary money market fund, the Wealthfront Treasury Money Market Fund (WLTXX).
• Enhance and maintain organizational and record-keeping processes to enable timely and accurate responses to regulatory inquiries and examinations.
• Cook up and execute all necessary monitoring, testing, periodic risk assessments, executive reporting functions, and certification processes for the broker-dealer’s supervisory policies, ensuring compliance with relevant securities laws and regulations.
• Lead the annual control evaluation and reporting requirements for the Company’s regulated entities, including the broker-dealer and two investment advisers.
• Partner with the General Counsel and senior legal team to implement and maintain a regulatory change management program, analyzing new regulations and proactively creating compliant solutions for products and services.
• Direct the Company’s compliance efforts related to its proprietary money market fund, the Wealthfront Treasury Money Market Fund (WLTXX).
• Enhance and maintain organizational and record-keeping processes to enable timely and accurate responses to regulatory inquiries and examinations.
• Cook up and execute all necessary monitoring, testing, periodic risk assessments, executive reporting functions, and certification processes for the broker-dealer’s supervisory policies, ensuring compliance with relevant securities laws and regulations.
• Lead the annual control evaluation and reporting requirements for the Company’s regulated entities, including the broker-dealer and two investment advisers.
• Partner with the General Counsel and senior legal team to implement and maintain a regulatory change management program, analyzing new regulations and proactively creating compliant solutions for products and services.
• Direct the Company’s compliance efforts related to its proprietary money market fund, the Wealthfront Treasury Money Market Fund (WLTXX).
• Enhance and maintain organizational and record-keeping processes to enable timely and accurate responses to regulatory inquiries and examinations.
• Cook up and execute all necessary monitoring, testing, periodic risk assessments, executive reporting functions, and certification processes for the broker-dealer’s supervisory policies, ensuring compliance with relevant securities laws and regulations.
• Lead the annual control evaluation and reporting requirements for the Company’s regulated entities, including the broker-dealer and two investment advisers.
• Partner with the General Counsel and senior legal team to implement and maintain a regulatory change management program, analyzing new regulations and proactively creating compliant solutions for products and services.
• Direct the Company’s compliance efforts related to its proprietary money market fund, the Wealthfront Treasury Money Market Fund (WLTXX).
• Enhance and maintain organizational and record-keeping processes to enable timely and accurate responses to regulatory inquiries and examinations.
• Cook up and execute all necessary monitoring, testing, periodic risk assessments, executive reporting functions, and certification processes for the broker-dealer’s supervisory policies, ensuring compliance with relevant securities laws and regulations.
• Lead the annual control evaluation and reporting requirements for the Company’s regulated entities, including the broker-dealer and two investment advisers.
• Partner with the General Counsel and senior legal team to implement and maintain a regulatory change management program, analyzing new regulations and proactively creating compliant solutions for products and services.
• Direct the Company’s compliance efforts related to its proprietary money market fund, the Wealthfront Treasury Money Market Fund (WLTXX).
• Enhance and maintain organizational and record-keeping processes to enable timely and accurate responses to regulatory inquiries and examinations.
• Cook up and execute all necessary monitoring, testing, periodic risk assessments, executive reporting functions, and certification processes for the broker-dealer’s supervisory policies, ensuring compliance with relevant securities laws and regulations.
• Lead the annual control evaluation and reporting requirements for the Company’s regulated entities, including the broker-dealer and two investment advisers.
• Partner with the General Counsel and senior legal team to implement and maintain a regulatory change management program, analyzing new regulations and proactively creating compliant solutions for products and services.
• Direct the Company’s compliance efforts related to its proprietary money market fund, the Wealthfront Treasury Money Market Fund (WLTXX).
• Enhance and maintain organizational and record-keeping processes to enable timely and accurate responses to regulatory inquiries and examinations.
• Cook up and execute all necessary monitoring, testing, periodic risk assessments, executive reporting functions, and certification processes for the broker-dealer’s supervisory policies, ensuring compliance with relevant securities laws and regulations.
• Lead the annual control evaluation and reporting requirements for the Company’s regulated entities, including the broker-dealer and two investment advisers.
• Partner with the General Counsel and senior legal team to implement and maintain a regulatory change management program, analyzing new regulations and proactively creating compliant solutions for products and services.
• Direct the Company’s compliance efforts related to its proprietary money market fund, the Wealthfront Treasury Money Market Fund (WLTXX).
• Enhance and maintain organizational and record-keeping processes to enable timely and accurate responses to regulatory inquiries and examinations.
• Cook up and execute all necessary monitoring, testing, periodic risk assessments, executive reporting functions, and certification processes for the broker-dealer’s supervisory policies, ensuring compliance with relevant securities laws and regulations.
• Lead the annual control evaluation and reporting requirements for the Company’s regulated entities, including the broker-dealer and two investment advisers.
• Partner with the General Counsel and senior legal team to implement and maintain a regulatory change management program, analyzing new regulations and proactively creating compliant solutions for products and services.
• Direct the Company’s compliance efforts related to its proprietary money market fund, the Wealthfront Treasury Money Market Fund (WLTXX).
• Enhance and maintain organizational and record-keeping processes to enable timely and accurate responses to regulatory inquiries and examinations.
• Cook up and execute all necessary monitoring, testing, periodic risk assessments, executive reporting functions, and certification processes for the broker-dealer’s supervisory policies, ensuring compliance with relevant securities laws and regulations.
• Lead the annual control evaluation and reporting requirements for the Company’s regulated entities, including the broker-dealer and two investment advisers.
• Partner with the General Counsel and senior legal team to implement and maintain a regulatory change management program, analyzing new regulations and proactively creating compliant solutions for products and services.
• Direct the Company’s compliance efforts related to its proprietary money market fund, the Wealthfront Treasury Money Market Fund (WLTXX).
• Enhance and maintain organizational and record-keeping processes to enable timely and accurate responses to regulatory inquiries and examinations.
• Cook up and execute all necessary monitoring, testing, periodic risk assessments, executive reporting functions, and certification processes