Conduct compliance reviews, mock SEC/FINRA examinations, and branch office assessments for investment advisers and broker-dealers.
Manage client engagements from planning and testing through reporting and remediation, translating complex regulatory requirements into risk-rated findings.
Mentor junior consultants, contribute to industry education, and guide clients in using compliance technology solutions.
Design and execute the annual compliance testing program for the broker-dealer and RIA, including FINRA 3110 and SEC 206(4)-7.
Act as a key contact during regulatory examinations, managing data requests and supporting internal investigations.
Maintain policies and procedures inventory, including Written Supervisory Procedures, and assist with regulatory filings.
Mercury is a fintech company building banking and financial infrastructure for startups, offering services through partner banks. The company values compliance as a foundation for trust and growth, fostering a collaborative and diverse work environment.
Review financial services product applications for suitability in accordance with broker-dealer procedures and FINRA regulations.
Serve as a resource for agents and registered personnel on product suitability and transaction documentation.
Develop exception reports and surveillance systems to support supervision of registered and non-registered personnel.
Horace Mann provides insurance and financial products tailored to educators, helping them protect assets and plan for the future. Serving over 4,100 school districts nationwide, the company is publicly traded on the NYSE and holds more than $12 billion in assets.
Conduct compliance reviews, monitoring, and testing across regulatory obligations.
Review and investigate potential compliance issues, document findings, and escalate as needed.
Support vendor compliance, customer due diligence, and AI governance programs.
April is an embedded, year-round tax platform that brings real-time tax intelligence into the platforms people already use. The company's AI-powered engine and API-first infrastructure serve complex tax situations, with a culture emphasizing ownership, judgment, and professionalism.
Assess complex compliance and financial crime risks, supporting clients in strengthening controls and risk management frameworks.
Conduct audits, risk assessments, and control testing, translating findings into actionable recommendations for stakeholders.
Mentor junior team members and contribute to a collaborative, learning-oriented consulting environment.
This position is listed on behalf of a partner company, which manages all applications and next steps. The partner is a consulting firm specializing in financial crime compliance, serving highly regulated financial services organizations.
Lead advanced compliance activities for healthcare administrative products including HSAs, FSAs, HRAs, and COBRA.
Apply expert regulatory judgment to risk assessments, compliance monitoring, investigations, and corrective actions.
Collaborate with stakeholders to integrate compliance requirements into strategic initiatives and leverage AI-powered tools.
HealthEquity empowers healthcare consumers by providing administrative solutions like HSAs, HRAs, FSAs, and COBRA. The company is a large, mission-driven organization that values inclusion and connects health and wealth for American families.
Serve as SME on North American AML, BSA, KYC, KYB, sanctions, and financial crimes regulations.
Partner with Product, Engineering, and Data Science to align solutions with regulatory expectations and compliance workflows.
Produce regulatory briefings, support compliance management systems, and leverage AI to improve productivity.
Trulioo provides an identity verification platform that enables organizations to onboard customers and combat fraud, verifying over 5 billion people worldwide. Headquartered in Vancouver, it is a people-first company recognized as a BC Top Employer.
Support multiple regulatory exams and external audits for licensed jurisdictions, providing a standardized framework and preparing data requests.
Understand applicable regulations to ensure audits are designed to identify control gaps and non-compliance with laws.
Assist in driving compliance initiatives to completion and preparing status reports for management updates.
Binance is a leading global blockchain ecosystem behind the world’s largest cryptocurrency exchange by trading volume and registered users. With a presence in 100+ countries and trusted by 300+ million people, we offer a flat, user-centric structure that values autonomy and innovation.
Lead and develop the Compliance Governance team, setting priorities and building capabilities.
Own compliance risk assessment, policy governance, enterprise training, and compliance reporting.
Support regulatory examinations and provide credible challenge across the business.
Mercury is a fintech company building a complete banking and finance stack for startups and business owners. They value a fast-moving, collaborative culture with a modern approach to compliance and a commitment to diversity and belonging.
Translate regulatory and financial reporting requirements into report logic and data definitions.
Develop, maintain, and update compliance reports for state filings, audits, and other obligations.
Investigate reporting discrepancies, isolate root causes, and drive remediation with engineering and finance.
Kin makes homeowners insurance and related products simpler and more affordable using data, technology, and human support. Founded in 2016, Kin is a remote-first employer with over 35 states and has been recognized as a Best Place to Work and a Great Place to Work.