Director of Compliance

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 propriet