[Remote] Senior Associate, Broker Dealer Compliance

November 9, 2026

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Note: The job is a remote job and is open to candidates in USA. Stash is hiring a Senior Associate, Broker Dealer Compliance to help ensure compliance with applicable federal laws and regulations. The role provides compliance guidance on customer disputes and inquiries, coordinates regulatory responses, tests policies and controls, and escalates systemic issues.

Responsibilities

Collaborate cross functionally with Customer Experience and Operational teams to provide real-time compliance guidance to unique customer disputes and inquiries
Coordinate responses to FINRA regulatory filings, regulatory exams, and inquiries as they related to customer complaints across all Stash entities
Monitor and test Stash Capital’s policies and procedures to ensure effective end to end controls in such areas as trading, money movement, and internal controls
Act as the eyes and ears of compliance to identify and escalate systemic issues Stash’s Customer Experience team or other internal stakeholders identify to senior management

Skills

Candidates should have an impressive record of achievement and at least one to three years of relevant work experience that includes compliance exposure to retail broker-dealer operations, retail investment adviser operations, or consumer banking
The position requires familiarity with relevant portions of key broker-dealer and investment advisor laws and regulations, such as FINRA rules and the 1940 Investment Advisers Act
The ability to be open to change in response to new information and craft customer-centric responses in ambiguous situations
Exemplary attention to detail, exceptional analytical skills, and strong judgment skills; analyzing and editing skills are of particular importance
Active FINRA Series 7 license
Compliance testing experience
Experience working with Cursor/ChatGPT, Looker, SQL, or other analytical platforms

Benefits

Equity
Health care benefits
Complimentary subscription to Stash+ account
Hybrid work environment in NYC that prioritizes time together in the office while still allowing for work-from-home flexibility
Flexible PTO
Work-from-home equipment stipends
Home internet subsidy
Paid parental leave for birth-giving and non-birth-giving parents (Primary & Secondary)
Enhanced health and wellness benefits through One Medical, Gympass, and Maven Health

Company Overview

Stash develops a personal finance application to combine banking, investing, and advice into one platform. It is a sub-organization of Grab. It was founded in 2015, and is headquartered in New York, New York, USA, with a workforce of 201-500 employees. Its website is

Company H1B Sponsorship

Stash has a track record of offering H1B sponsorships, with 3 in 2025, 8 in 2024, 5 in 2023, 16 in 2022, 15 in 2021, 9 in 2020. Please note that this does not guarantee sponsorship for this specific role.

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