Compliance Advisor

M1 Finance

M1 Finance

Chicago, IL, USA · Remote
Posted on Saturday, September 30, 2023

Who we are

M1 helps clients build and protect their wealth, day to day and for the long term. Our self-directed platform allows users to invest, borrow, spend and save in one place, using automation to power each user's unique personal strategy. Hundreds of thousands of clients trust us with over $6 billion in assets. As the Finance Super App™, we empower clients’ financial well-being through automated investing tools, industry-leading APY on high-yield savings accounts, paperwork-free margin loans, low-cost personal loans, and high cash back credit card rewards that can be automatically re-invested into your M1 portfolio.

Our vision is to create a digital private banking experience, making the tools and services of the ultra-wealthy accessible with the click of a button. We've been named a top app for investors including 2023 Best for Low Costs and Best for Sophisticated Investors by Investopedia, 2023 Best Investment App for Porfilio Customization by Insider and one of the best Roth IRAs by Fortune. We have over 60,000 five-star reviews on the Apple App Store and Google Play.

As a fast-growing fintech company, we’re looking for talented and smart individuals who are excited about rethinking what’s possible with personal finance, invested in their personal and professional growth, and eager to take ownership of their work. Our award-winning workplace culture has been recognized by Inc. (Best Workplaces 2022), Built In Chicago (2022 and 2023 Best Places to Work in Chicago), CB Insights (Top Fintech Companies of 2021), and the Chicago Tribune (2021 Top Workplace).

We mean it when we say, “M1 is yours to build.”

If this sounds interesting to you, read on!

What we’re looking for:

We are looking for a motivated compliance professional who has experience with multiple compliance disciplines across financial services. The ideal individual will be a curious, growth minded thinker who can effectively work in a non-linear space to bring structure and deliver on team priorities. Additionally, the ideal individual will be a team player, willing to help where needed even if they are not an expert on the subject.

What You'll Do:

The Compliance Advisor will play a critical role in the future of M1. Reporting to our Compliance Director, you’ll work as a member of our compliance team by collaborating across the company to help create and implement the policies and procedures that will ensure M1 complies with all applicable laws and regulations. This role will support M1’s business with contributions in all functions of compliance, including:

  • Be a primary resource for operations, customer service and other business teams, across M1, by providing advice and guidance on policies and regulations.
  • Research and respond to regulatory inquiries, exams and audits, complaint resolution, and customer inquiries.
  • Communicate difficult concepts; convert information to compelling business context and advice; influence and gain alignment across increasingly senior stakeholders.
  • Review advertising and marketing materials as well as other electronic communications pursuant to FINRA and SEC Regulations, internal policies and procedures, and all other applicable guidelines.


  • FINRA Series 7 and 24 required
  • 3-5 years of compliance experience in the financial industry to include in-depth knowledge of the brokerage business including trading, operations, and regulatory and financial reporting.
  • Experience with reviewing Firm public/retail communications.
  • Excellent verbal and written communication skills with the ability to articulate complex information in a clear and concise manner.
  • Strong interpersonal skills with an ability to partner, interact, collaborate, build trust, problem solve, and seek to influence staff from all levels of the organization.
  • Ability to work in a fast-paced environment and handle multiple tasks and deadlines with strong attention to detail.
  • Stong SQL and Tableau and analytical skills

Bonus Points:

  • Stong SQL and Tableau skills
  • Financial Services experience includes banking, loans, and credit cards.
  • Crypto compliance experience
  • Fintech or Start-up experience

M1's Commitment to Diversity

M1 is proud to be an equal opportunity employer. We celebrate different experiences and we're committed to diversity, equity, inclusion, and belonging (DEIB) at all levels of the company. Women, minorities, veterans, members of the LGBTQIA+ community, and individuals with disabilities are strongly encouraged to apply. With our DEIB Council and six Employee Resource Groups (AAPI@M1, Black@M1, Mental Health@M1, Pride@M1, SomosM1, and Women@M1), M1 employees and leaders set aside company time to tackle DEIB projects and achieve goals every quarter.

Our Values

Our team embodies our ten core principles and if these principles speak to you – we’d love to talk with you.

  • Mission Driven - We know that financial well-being has a dramatic impact on an individual's quality of life. We are passionate about helping people in this domain.
  • Extreme Ownership - We are responsible for the results to our clients, teammates, and shareholders. We own everything in our domain that affects these results.
  • Boldness - Thinking small is a self-fulfilling prophecy. Thinking big inspire results. We would rather fail at the meaningful than succeed at the trivial.
  • Ruthless Prioritization - We want to do more than we possibly can. We must be disciplined on how to use our precious money, people, and time. That means saying no to a lot of good ideas so we can focus on the most important thing.
  • Integrity - We do the right thing. This trust must never be broken.
  • Effectiveness - We do what's needed to deliver the intended results. Whether that requires disciplined process or scrappy implementation, we find a way.
  • Team Oriented - We work collaboratively to achieve more. We respect, trust, and support one another.
  • Transparency - We use simple and clear communication to share information so that people have the context to make good decisions.
  • Make Forward Progress - Something is better than nothing. We make incremental improvements on our path towards perfection. Crawl, walk, run, and then sprint.
  • Resiliency - We understand that any big goal comes with ambiguity, change, and setbacks. We adapt and keep going.

Our Perks

  • Competitive Pay and Stock Options
  • Comprehensive health, dental, vision, disability, and life insurance
  • Retirement benefit with employer match
  • Unlimited PTO
  • $500 to spend on home office equipment while working from home
  • Stylish M1 swag
  • Socially distant team outings, celebrations, and events
  • Transparent and open communication with leadership
  • Office in the Loop with a Game Room and Gym
  • Access to employee workshops and training about financial literacy, empathy and mental health, professional development, and more
  • Free subscription to Insight Timer, the world’s #1 meditation app for sleep, stress, and anxiety