Compliance Director

  • 213 W Institute Pl, Chicago, IL 60610, USA
  • Full-time

Company Description

M1 is a young, rapidly growing company determined to reinvent personal finance. We believe the current tools used to invest, borrow, or spend your money are woefully undershooting what’s possible given new technologies. That’s why we’re rethinking what’s possible and building the tools to empower people to make the most of their money.

We have built a one-of-a-kind, free automated investing platform. People can easily create and automate a personalized investment portfolio. And, it’s free. There has never been an easier, more convenient, or less expensive way to invest in what you want.

We manage hundreds of millions of dollars and are signing up thousands of new customers each week. But we are not done. We’re just getting started and have ambitious plans to take on an entrenched industry. Join us and help build the future of personal finance.

Job Description

The Compliance Director, will provide leadership for the overall strategy, execution, and measurement of the compliance functions at M1 Finance. This leader will be responsible for leadership and long term vision of the compliance operational processes, executing day to day and month to month compliance requirements and curate a culture of compliance by staying up to date with all new regulatory requirements.


2+ years of experience in broker dealer operations or compliance

Series 7, 66, 24 (not required but recommended)

Attention to detail and organization

Demonstrate strong strategic thinking with the ability to create multiple year plans

Willing to do whatever it takes to get the job done

Passionate about owning and growing their own department at a growing company

Additional Information

All your information will be kept confidential according to EEO guidelines.