Serve as a primary point of contact for employee compliance inquiries, managing incoming compliance requests through the firm’s ticketing system.
Administer employee onboarding, registrations, certifications, and regulatory filings.
Maintain compliance with SEC and state regulatory requirements applicable to a nationally operating registered investment adviser.
Mercer Advisors helps families amplify and simplify their financial lives by integrating financial planning, investment management, tax, estate, and insurance, all managed by a team. They serve over 31,300 families in more than 90 cities across the U.S. and are ranked the #1 RIA Firm in the nation by Barron’s.
Design & Implement: Create broker-dealer and investment advisory written procedures and SOPs that align with evolving regulatory requirements.
Review & Refine: Audit public communications and marketing materials to ensure they are consistent with regulatory guidelines and internal policies.
Voice of the Customer: Review customer communications to detect, identify, and document customer complaints, ensuring every concern is addressed with integrity.
Acorns is a financial wellness app helping people and families save and invest for the long term. They have grown into a global company with multiple life-stage products serving the needs of kids, teens, adults, and parents and have helped over 14 million people save & invest over $25 billion dollars.
Handling regulatory and compliance issues in conformity with Mercer Advisors’ practices and requirements.
Conduct daily review of marketing materials of recently acquired businesses for compliance.
Proactively work with the business to ensure acquired businesses are integrated successfully to Mercer Advisors.
Mercer Advisors helps families amplify and simplify their financial lives by integrating financial planning, investment management, tax, estate, and insurance. They serve over 31,300 families in more than 90 cities across the U.S. and are ranked the #1 RIA Firm in the nation by Barron’s.
Design, implement, and maintain the firm’s written compliance policies and procedures.
Conduct an annual review of the adequacy of the firm’s compliance policies and procedures.
Identify and assess regulatory risks across all business activities.
Kraken builds the future of crypto with a world-class team united by the desire to unlock the potential of crypto and blockchain technology. It is a fully remote company with Krakenites in 70+ countries and is committed to industry-leading security and crypto education.
Monitor and maintain compliance with relevant laws and regulations.
Assist with the formation of investment vehicles.
Assist with investor onboarding, inquiries, and requests.
Allocate is the intelligent operating system for private market investing. They help wealth advisors, institutional investors, and fund managers access curated opportunities, launch private vehicles, and manage portfolios without operational drag. They value a commitment to continuous improvement and civil discourse.
Review written communication for FINRA compliance and prevent non-compliant actions.
Review user transaction documents and support legal/compliance issues.
Assist in compliance Due Diligence and KYC/AML tasks.
Finalis is the leading platform enabling the securities brokerage landscape to operate legally and compliantly. Launched in 2020 and growing rapidly, the SF- and NYC-based firm is on a mission to power dealmakers by building the world’s largest dealmaking platform.
Deliver regulatory oversight to appointed representative firms and registered Individuals and ensure Treating Customers Fairly principles are embedded.
Review AR bespoke characteristics and behaviors identified by risk assessment as requiring supervision, building strong relationships with AR Principals.
Identify areas of concern in a firm’s current processes, set action plans and agree timescales for these to be rectified.
Quilter plc is a leading wealth management business, helping to enable brighter financial futures for every generation, overseeing £141.2 billion in customer investments. The business is transforming, continually modernising, and becoming even more customer centric, with ambition to stay one step ahead and make an even greater difference to the people and communities they serve, including their colleagues.
Research, interpret and advise on SEC and SRO rules.
Draft and submit rule changes and amendments with the SEC.
Work directly on regulatory examinations and lead LTSEs responses.
The Long-Term Stock Exchange (LTSE) is an SEC-registered national securities exchange designed to promote fair and orderly markets, as well as help long-term focused companies get the credit they deserve. LTSE works with companies to identify long-term investors that will value their efforts to prioritize sustainable, long-term growth.
Review proposed changes/new products to identify compliance risks.
Monitor corrective actions and escalate when appropriate.
Analyze regulations and assist with the development of compliant processes.
EarnIn pioneers earned wage access, building products that deliver real-time financial flexibility. They are a fast-growing company with experienced leadership, world-class funding partners, and a healthy core business.
Maintain regulatory compliance and prevent losses to members and credit union.
Perform primary telephone support and assist members and employees through all support channels.
Solve practical problems and deal with a variety of situations exercising flexibility and sound judgment.
STCU is a top-performing credit union that emphasizes serving others and lifelong learning. They value employees who are committed, fun-loving, and want to make a difference in members’ lives, with core values including joyfulness, generosity, and belonging.
Provide world-class customer service through performing complex Member Services functions.
Maintain compliance with Federal and State regulations, NACHA rules, and Webster/HSA Bank policies.
Meet/exceed individual performance goals, service level objectives, and demonstrate operational excellence.
Webster Financial Corporation is committed to putting people first, by helping individuals, families, and businesses achieve their financial goals. As a commercial bank founded in 1935, they value integrity, collaboration, accountability, agility, respect, and excellence.
Prepare regulatory filings, conduct routine audits, and organize documentation for legal reviews.
Collaborate with attorneys and business leaders to support compliance initiatives and respond to regulatory inquiries.
Provide guidance to internal stakeholders on compliance requirements.
AffirmedRx aims to improve healthcare outcomes by bringing clarity, integrity, and trust to pharmacy benefit management. They are committed to making pharmacy benefits easy to understand, straightforward to access, and always in the best interest of employers. and the lives they impact.
Conduct compliance risk assessments for products and operational changes.
Translate regulatory expectations into practical controls.
Design and implement scalable compliance controls.
EarnIn builds products that deliver real-time financial flexibility for those with the unique needs of living paycheck to paycheck. They are a fast-growing company with experienced leadership and world-class funding partners, aiming to bring world-class talent onboard.
Regularly consults with assigned clients to maintain a positive relationship.
Proactively uncovers ways to improve the daily operations of the plan.
Resolves moderately complex or specialized client issues; conducts research and reporting to resolve these issues.
T. Rowe Price is a premier global asset management organization with more than 85 years of experience. They provide investment solutions and a broad range of equity, fixed income, and multi-asset capabilities to individuals, advisors, institutions, and retirement plan sponsors. Their culture is collaborative and they value differences and colleagues who share a spirit of generosity.
Support and maintain all aspects of Trading Compliance across sports betting operations.
Maintain up-to-date records of approved leagues, events, wager types, and applicable restrictions.
Serve as a subject matter resource on trading compliance requirements across all operating markets.
Fanatics is building a leading global digital sports platform to ignite the passions of global sports fans. They have over 22,000 employees who are committed to relentlessly enhancing the fan experience and delighting sports fans globally.
Prepare Board/Management Committee packages and division reports.
Conduct due diligence and research using WorldCheck, LexisNexis, and internet sources.
Analyze AML alerts and perform customer research using internal and external sources.
iCIMS is a recruiting software company that empowers organizations to attract, engage, hire, and advance the right talent. They offer a cloud-based platform and have a large customer base.
Manage the monthly NAV process for US and Lux fund structures.
Prepare and review U.S. GAAP and SEC financial reporting.
Research and resolve complex technical accounting issues.
Vista is a leading global investment firm that invests exclusively in enterprise software, data and technology-enabled organizations across private equity, credit, public equity and permanent capital strategies. The firm brings an approach that prioritizes creating enduring market value for the benefit of its global ecosystem of investors, companies, customers and employees.
Research current and upcoming regulations or changes to the regulations.
Communicate clearly with owners and managers concerning regulations.
Educate and consult with clients through calls, interactions, and meetings.
KPA, founded in 1986, provides Workforce Compliance software and consulting services, helping clients prevent workplace safety and compliance problems. With headquarters in Colorado and teammates throughout the United States, KPA is known for its commitment to Integrity, Helpfulness and Teamwork.