Risk Management - Senior Associate

Wealthfront is seeking an experienced Senior Associate to join the Risk Management Team to support the design, implementation and continued improvement of the Risk Management Program. You will be a key member of the Risk Management Team and will interact with members of Senior Management, as well as, collaborate cross-functionally across all Teams at Wealthfront. You will be exposed to a technology first culture, while working in a highly regulated financial institution. You will be directly involved in meaningful initiatives across the Company with an objective towards supporting Management with identifying, managing, reporting and mitigating risk at the Company.

Responsibilities

• Support the Risk Management Team in the design, implementation and continued improvement of the Company’s Enterprise Risk Management Program
• Facilitate the enterprise risk assessment process through functional collaboration across the entirety of the Company
• Perform scoping, risk assessment, testing and reporting activities as it relates to the Company’s Enterprise Testing Program, which includes areas such as: Internal Controls Over Compliance (Financial Responsibility Rules), Financial Reporting Controls, etc
• Lead walkthroughs to identify control activities and subsequently create and/or refresh process documentation, including, Risk & Control Matrices, flowcharts and other ad hoc artifacts
• Identify and monitor risk exposures across the Company, including those associated with the cash sweep product through initial and ongoing monitoring of participant banks
• Facilitate and enhance the risk reporting processes undertaken as part of the Enterprise Risk Management Program, including, reporting to Senior Management and the Board
• Develop and maintain positive relationships with stakeholders across the entirety of the Company, as well as, with external auditors
• Provide support across external audits, including: serving as a central point of contact; fulfilling document requests; coordinating and attending walkthroughs, etc.

Requirements

• 4 to 7 years of experience, preferably in Risk Management, Compliance, or Internal Audit at a financial services company or similar experience as a consultant, previous financial technology experience is a plus
• BA/BS
• Experience in supporting the development and implementation of risk management frameworks / programs / systems at regulated financial institutions
• Experience in using GRC Tools (e.g., Workiva)
• Ability to identify solutions through independently performing research, applying prior experience and knowledge
• Unquestionable ethics
• Ability to communicate effectively at all levels of an organization
• Ability to work cross-functionally and build strong relationships across various stakeholders
• Uncompromising attention to detail with the ability to communicate to the level of detail appropriate to the situation and audience
• Problem solver who seeks to actively address issues in a professional and effective manner
• Enthusiasm to apply technology to business processes
• Strong organizational skills and ability to set and meet deadlines in a high paced environment
• Self-starter who regularly takes initiative and possesses the ability to juggle multiple projects while simultaneously demonstrating creativity and judgment
• Takes pride in meeting deadlines and exceeding expectations on quality of output
• Customer-centric business philosophy and team-oriented mindset

Estimated annual salary range: $110,000 to $120,000 USD plus Bonus and Equity.

Benefits include medical, vision, dental, 401K plan, generous time off, parental leave, wellness reimbursements, professional development, employee investing discount, and more!

About Wealthfront

Wealthfront started with the ambition to transform the investment advisory business, with the goal to unlock access to high quality investment advice for millions who were underserved by the traditional institutions. We built one of the first automated investment products that allows you to invest in a personalized portfolio of thousands of companies in seconds for a remarkably low fee. We then expanded. We now work with partner banks to offer exceptional banking features through a Wealthfront Brokerage Cash Account, which makes it remarkably easy for people to automate their finances end-to-end and eliminated the hassle of money management, all of which resulted in attracting more than $70 billion of our client’s hard earned money, pioneering the robo-advisor category and transforming the broader industry. And yet, we have a long way to go to achieve our mission to build a financial system that favors people, not institutions. 

Wealthfront’s vision is to make it delightfully easy to build long-term wealth on your own terms. This vision is more relevant than ever because millions more people are getting into the market early and investing their hard earned savings in a handful of stocks. While this is a great way to start, it is inconsistent with building long-term wealth. We want to empower young investors to expand their horizon, and easily explore and execute on a wider range of investing strategies, make informed investment decisions that are consistent with their values and beliefs while also making it effortless to grow and compound their savings exponentially in a way that’s transformational to their lives and their long-term future.

For more information please visit www.wealthfront.com.

We are an equal opportunity employer and value diversity at our company. We do not discriminate on the basis of race, religion, color, national origin, gender, sexual orientation, age, marital status, veteran status, or disability status.

Please review our candidate privacy notice.