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 $250M 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.
Aspiration is looking for a Senior Media Compliance Analyst to join our growing team.
This role is both unique and integral to the firm, in its alignment of compliance, investment operations, retail banking and customer service.
The Media Compliance Analyst will be the primary person responsible at the firm for the review of marketing and advertising materials under FINRA rules.
What You’ll Do
- Support the Chief Compliance Officer by administering marketing and communications reviews by Investment Advisers Act of 1940, the Securities Exchange Act of 1934, other relevant regulations, and internal policy requirements
- Lead, organize, and administer marketing and communications review processes
- Work closely with internal teams to thoroughly review marketing and communications materials within agreed upon timeframe
- Interact with Compliance team, legal team, and colleagues throughout the organization to help resolve potential compliance issues
- Ensure compliance with SEC, FINRA and other applicable rules and regulations
- File financial promotions with FINRA as needed
What You’ll Bring
- B.A.
in finance, economics or related field
- 5+ years experience working in legal or compliance at an investment adviser and/or broker dealer
- 5+ years reviewing and approving advertising/marketing materials concerning FINRA Rule 2210
- Series 7, 24 and either 63 or 66 licenses
- Strong understanding of the 1940 Investment Company Act
- Strong understanding of banking and investment product
- Strong analytical skills with attention to detail
- Interest in FinTech and working in a fast paced startup environment
- Entrepreneurial
– you do what it takes to achieve our goals, without having someone telling you what to do or being confined to normal business hours - Excellent written and verbal communication skills
- Excel proficiency
What You’ll Get
- Making an impact for a company with a mission of transforming the financial industry and the lives of millions
- Competitive salary and equity incentives
- Robust healthcare plans, 401K and unlimited vacation time
- Diverse & inclusive culture
Aspiration is proud to be an ESG company.
We are an equal opportunity workplace and an affirmative action employer. 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.
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