Betterment
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Legal Counsel - Litigation & Regulatory
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About Betterment
Betterment is a leading, technology-driven financial services company that offers investing, savings and retirement solutions for retail investors and investment advisors as well as financial wellness solutions, including a 401(k) for small and medium-sized businesses. Our team is passionate about our mission, to empower people to build wealth with confidence and ease. We’re headquartered in NYC and offer hybrid NY-based positions (four days/ week in-office, with no required office days during the summer and winter holidays).
About the role
We’re looking for a versatile lawyer to join Betterment’s high-impact legal team. Betterment is making investing smarter, easier, and more accessible for everyone — and this role sits at the center of the action, with responsibilities covering disputes and arbitration, regulatory inquiries, and policy advocacy. The ideal candidate is a talented litigator looking to expand their focus and expertise.
You are:
- A sharp problem-solver with excellent legal judgment and outstanding attention to detail
- Strategic and practical, with a honed sense for which claims call for resolution and which should be contested vigorously
- A clear and persuasive communicator to legal and non-legal audiences with varying degrees of sophistication
- Able to thrive in a fast-paced, technology-driven environment
- Comfortable making decisions in the face of ambiguity
- Eager to own projects end-to-end, manage competing priorities, and build scalable processes that drive efficiencies for a lean team charged with covering a considerable amount of ground
In this role, you will build and own legal processes to manage and respond to claims and threatened claims. You will help to identify and mitigate legal risk; defend Betterment in litigations, arbitrations, and regulatory proceedings (both directly and by managing outside counsel); analyze legislative and regulatory changes relevant to Betterment’s business; and advise business partners to improve Betterment’s products and services. You will report directly to Betterment’s Head of Regulatory and Policy, and sit alongside Betterment’s product counseling team.
This role is based out of our NYC office. Below we've reflected the base salary range for this position. Actual salaries may vary depending on factors including but not limited to location, experience, and performance. The range listed is just one component of Betterment’s total compensation package for employees.
- New York City: $170,000 - $185,000
This job may also be eligible for variable compensation in the form of a company incentive bonus.
A day in the life
- Serve as trusted legal partner to business, triaging and investigating escalated concerns
- Resolve and avoid potential disputes, driving pre-litigation strategy
- Represent Betterment in litigation, arbitrations, and regulatory proceedings
- Manage and collaborate with outside counsel
- Coordinate responses to third-party subpoenas
- Navigate legal and regulatory requirements to address operational issues and enhance Betterment’s products and services
- Support Betterment’s policy advocacy efforts by analyzing proposed legislation and rule-makings relevant to Betterment’s business
What we’re looking for
- A JD, admission to the NY bar, and at least 4 years of relevant in-house or firm litigation experience
- An adaptable mindset and innate curiosity
- A bias toward action and solving problems, not just issue spotting
- The ability to take ownership over your work and manage projects independently
- Excellent writing ability
- Comfort navigating complexity and creating simplicity
- Passion for Betterment’s products and mission
Bonus Points If You Have:
- Knowledge of financial services regulation, especially the Advisers Act, ERISA, securities and/or banking law and related regulations
- Arbitration experience, especially FINRA or AAA proceedings
- Familiarity with privacy and/or information security issues
- Experience in retail financial services or representing financial services clients
- In-house experience at a startup or high growth company
What being at Betterment means for you
We change lives
Join a community of innovators working to transform financial outcomes for real people. Your work will make an impact, always laddering up to our mission: making people's lives better.
We set audacious goals
We set them for the company, our customers, and ourselves—and we won’t stop until we reach them. We don’t just show up; we give our all, then celebrate our wins.
We value all perspectives
When we collaborate, we're at our best. We believe diverse perspectives lead to better outcomes and strive to uphold our supportive and inclusive community.
We invest in you with:
- A competitive suite of benefits, including: medical, dental, and vision insurance; life and AD&D insurance; STD and LTD benefits, including infertility support and World Professional Association for Transgender Health approved benefits; and generous parental leave.
- Flexible paid time off (and encouragement to use it!)
- Meaningful opportunity for community building through our 7 Employee Resource Groups
- Empowerment to own and lead change and affect the business
- Dedicated professional development opportunities
- Lunch from our in-house chef at our NYC headquarters
What happens next
We’ll take a few weeks to review all applications. If we’d like to spend more time with you, we’ll reach out to arrange next steps, which will include 3-4 sets of meetings with your future colleagues.
In the interview process, we’ll look to learn more about your skills, experiences, capabilities, and motivators. Many of our questions will be aimed at understanding how you might operate here at Betterment. Depending on the role, we may ask you to complete a case study exercise or technical assessments, as we want to collect a robust set of data points to better inform our decisions.
On average, it takes us around 3-5 weeks to make a hiring decision, depending on your availability and sense of urgency. As a best practice, we aim to interview at least 2-3 final round candidates before making a hiring decision. Please note that, as we usually receive an overwhelming number of applications for open positions, we’re unable to offer individual feedback during the interview process.
We recognize that interviewing for a new role is a big deal. We appreciate you considering Betterment as the next step in your career, and our Recruiting Team is here to support and advocate for you through the interview process!
Betterment is dedicated to providing accommodations to candidates upon request. If you need accommodations at any point throughout the interview process, please reach out to your recruiter.
Please note that in any materials you submit, you may redact or remove age-identifying information such as age, date of birth, or dates of school attendance or graduation. You will not be penalized for redacting or removing this information.
Come join us!
We’re an equal opportunity employer and comply with all applicable federal, state, and local fair employment practices laws. We strictly prohibit and do not tolerate discrimination against employees, applicants, or any other covered persons because of race, color, religion, creed, national origin or ancestry, ethnicity, sex, gender (including gender nonconformity and status as a transgender or transsexual individual), sexual orientation, marital status, age, physical or mental disability, citizenship, past, current or prospective service in the uniformed services, predisposing genetic characteristic, domestic violence victim status, arrest records, or any other characteristic protected under applicable federal, state or local law.
E-Verify Statement
Betterment participates in E-Verify. We will provide the Social Security Administration, and if necessary, the Department of Homeland Security, with information from each new employee’s Form I-9 to confirm work authorization. Please note that we do not use this information to pre-screen job applicants.
E-Verify Notice
E-Verify Notice (Spanish)
Right to Work Notice
Right to Work Notice (Spanish)
CPRA Language - CA Applicants ONLY
We collect and store personal information for the purposes of candidate tracking (for this role and future opportunities). The information you provide in the course of completing your application will be kept for up to 24 months. We use tools provided by third-party service providers but do not share candidate information for any purpose other than for recruiting. To access the data that is collected, request deletion or to make updates to your candidate profile, please email team.hire@betterment.com.
Ready to apply?
Apply to Betterment
Sr. Manager, Marketing Compliance
Share this job
About Betterment
Betterment is a leading, technology-driven financial services company that offers investing, savings and retirement solutions for retail investors and investment advisors as well as financial wellness solutions, including a 401(k) for small and medium-sized businesses. Our team is passionate about our mission, to empower people to build wealth with confidence and ease. We’re headquartered in NYC and offer hybrid NY-based positions (four days/ week in-office, with no required office days during the summer and winter holidays).
About the role
You are eager to join a dynamic team to help manage the compliance function at one of the most innovative registered investment advisers and broker-dealers. You’re thorough, always ask questions, and are detail oriented. You thrive in a fast paced environment, are able to prioritize, and have an eye towards continuous improvement. You have significant experience with SEC and FINRA marketing rules and have expertise in marketing review. You have strong management skills and are ready to manage a team of two. You think outside the box and find working across the business to find solutions fun! You are ready to roll up your sleeves and get to work in an exciting work environment!
This role is based out of our NYC office. Below we've reflected the base salary range for this position. Actual salaries may vary depending on factors including but not limited to location, experience, and performance. The range listed is just one component of Betterment’s total compensation package for employees.
- New York City: $160,000 - $180,000
This job may also be eligible for variable compensation in the form of a company incentive bonus.
A day in the life
- Manage and develop two (2) direct reports, conducting daily marketing review and other program tasks
- Manage and oversee the daily review of marketing materials and social media related to investment advisory and broker-dealer products to ensure adherence to SEC Rule 206(4)-1, FINRA 2210, Reg DD and other applicable regulations
- Partner and collaborate with the marketing team, including advising on initiatives to help achieve business goals
- Manage our marketing review tool, including the tools use of artificial intelligence
- Identify and implement marketing program enhancements
- Review marketing-related vendors including promoters and influencers as part of our third party risk management program
- Execute the Compliance program for his or her area of responsibility, including promulgating policies and procedures, conducting monitoring, testing, and assessments, and providing training
- And, so much more!
What we’re looking for
- Expertise in SEC Rule 206(4)-1 and and FINRA Rule 2210, including rules related to testimonials/endorsements and performance marketing.
- Ability to organize and prioritize workflow and assignments in a deadline-oriented environment
- Ability to multi-task and work within tight deadlines
- Management experience
- A meticulous attention to detail
- Desire to work in a fast paced and changing environment
- Excellent communication and organizational skills
- Ability to work well across various business units
- Strong intellectual curiosity
- Series 24 required (or must obtain)
What being at Betterment means for you
We change lives
Join a community of innovators working to transform financial outcomes for real people. Your work will make an impact, always laddering up to our mission: making people's lives better.
We set audacious goals
We set them for the company, our customers, and ourselves—and we won’t stop until we reach them. We don’t just show up; we give our all, then celebrate our wins.
We value all perspectives
When we collaborate, we're at our best. We believe diverse perspectives lead to better outcomes and strive to uphold our supportive and inclusive community.
We invest in you with:
- A competitive suite of benefits, including: medical, dental, and vision insurance; life and AD&D insurance; STD and LTD benefits, including infertility support and World Professional Association for Transgender Health approved benefits; and generous parental leave.
- Flexible paid time off (and encouragement to use it!)
- Meaningful opportunity for community building through our 7 Employee Resource Groups
- Empowerment to own and lead change and affect the business
- Dedicated professional development opportunities
- Lunch from our in-house chef at our NYC headquarters
What happens next
We’ll take a few weeks to review all applications. If we’d like to spend more time with you, we’ll reach out to arrange next steps, which will include 3-4 sets of meetings with your future colleagues.
In the interview process, we’ll look to learn more about your skills, experiences, capabilities, and motivators. Many of our questions will be aimed at understanding how you might operate here at Betterment. Depending on the role, we may ask you to complete a case study exercise or technical assessments, as we want to collect a robust set of data points to better inform our decisions.
On average, it takes us around 3-5 weeks to make a hiring decision, depending on your availability and sense of urgency. As a best practice, we aim to interview at least 2-3 final round candidates before making a hiring decision. Please note that, as we usually receive an overwhelming number of applications for open positions, we’re unable to offer individual feedback during the interview process.
We recognize that interviewing for a new role is a big deal. We appreciate you considering Betterment as the next step in your career, and our Recruiting Team is here to support and advocate for you through the interview process!
Betterment is dedicated to providing accommodations to candidates upon request. If you need accommodations at any point throughout the interview process, please reach out to your recruiter.
Please note that in any materials you submit, you may redact or remove age-identifying information such as age, date of birth, or dates of school attendance or graduation. You will not be penalized for redacting or removing this information.
Come join us!
We’re an equal opportunity employer and comply with all applicable federal, state, and local fair employment practices laws. We strictly prohibit and do not tolerate discrimination against employees, applicants, or any other covered persons because of race, color, religion, creed, national origin or ancestry, ethnicity, sex, gender (including gender nonconformity and status as a transgender or transsexual individual), sexual orientation, marital status, age, physical or mental disability, citizenship, past, current or prospective service in the uniformed services, predisposing genetic characteristic, domestic violence victim status, arrest records, or any other characteristic protected under applicable federal, state or local law.
E-Verify Statement
Betterment participates in E-Verify. We will provide the Social Security Administration, and if necessary, the Department of Homeland Security, with information from each new employee’s Form I-9 to confirm work authorization. Please note that we do not use this information to pre-screen job applicants.
E-Verify Notice
E-Verify Notice (Spanish)
Right to Work Notice
Right to Work Notice (Spanish)
CPRA Language - CA Applicants ONLY
We collect and store personal information for the purposes of candidate tracking (for this role and future opportunities). The information you provide in the course of completing your application will be kept for up to 24 months. We use tools provided by third-party service providers but do not share candidate information for any purpose other than for recruiting. To access the data that is collected, request deletion or to make updates to your candidate profile, please email team.hire@betterment.com.
Ready to apply?
Apply to Betterment