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.
Support the design, maintenance, and execution of the UK compliance monitoring programme covering regulatory obligations.
Conduct risk-based compliance monitoring reviews and thematic testing to assess the effectiveness of regulatory controls.
Prepare monitoring reports and document monitoring findings, identify control weaknesses, and support the tracking of issues.
Kraken is a mission-focused company rooted in crypto values that aims to accelerate the global adoption of crypto, so that everyone can achieve financial freedom and inclusion. As a fully remote company, they have Krakenites in 70+ countries who speak over 50 languages.
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.
Accountable for the regulatory inventory, regulatory compliance products library for Pismo and DPS Products.
Monitor regulatory environments assisting your product teams in finding and understanding changes in regulations through new legislation, changes in guidance and examiners' manuals.
Working with Product on new and improved features and products research and identify regulations, review them for applicability by working with product, legal, and others.
Pismo, founded in 2016, provides a comprehensive processing platform for banking, card issuing and financial market infrastructure. With 500+ employees across 10 countries, they help clients innovate and transition from legacy systems to advanced technology, maintaining high security and availability standards.
Provide guidance for Affirm’s Product and Operations teams on applicable regulatory requirements related to any changes to products or services, issue remediation, and marketing reviews.
Review and approve financial services marketing materials to ensure they comply with regulations and industry standards.
Support responses to regulatory and bank-partner inquiries, audits, and examinations through second-line reviews and documentation/evidence.
Affirm is reinventing credit to make it more honest and friendly, giving consumers the flexibility to buy now and pay later without any hidden fees or compounding interest. The Legal, Compliance, and Public Affairs team is a group of dedicated professionals committed to helping Affirm scale, innovate, and provide outstanding products for consumers, merchants, and key partners.
Support the Company’s Compliance Management System (CMS), including risk assessments and governance processes.
Implement compliance monitoring and testing across business lines and document findings.
Support the drafting and maintenance of compliance policies, ensuring they align with regulatory expectations.
NerdWallet aims to bring clarity to all of life’s financial decisions with a team of exceptional Nerds. They've built an inclusive and flexible culture where employees are empowered to grow and take smart risks.
Support the execution of risk-based compliance monitoring, including data collection, control testing, and evidence gathering.
Assist with the annual policy review cycle: gap analysis, benchmarking, drafting revisions, and maintaining the compliance policy register.
Assist in preparing periodic compliance reports and KPI/KRI data for the Management Board, Supervisory Board, and Audit & Risk Committee.
Finom is a European tech startup headquartered in Amsterdam that aims to revolutionize financial landscape for entrepreneurs worldwide. They are developing an all-in-one financial B2B solution that integrates banking functions, accounting, financial management, and invoicing into a seamless, mobile-first platform.
Being the first point of contact for compliance advice for Retail and Business customer propositions.
Providing clear and proactive compliance advice to the Borrowing squad, especially on CONC and Consumer Duty.
Reviewing customer journeys and communications to help the business deliver good customer outcomes, and flagging any risks.
Monzo is a financial technology company aiming to make money work for everyone, moving away from the traditional banking complexities. They offer personal and business bank accounts, savings, investments, and pension options, focusing on customer service and financial education.
Working proactively with Product teams to provide compliance advice.
Providing compliance advice and guidance on financial promotions.
Building relationships with Compliance team members and first line colleagues.
Monzo is on a mission to make money work for everyone and waving goodbye to the complicated and confusing ways of traditional banking. They offer personal and business bank accounts, joint accounts, accounts for 16-17 year olds, a free kids account and credit cards in the UK.
Serve as the operational backbone of a growing RIA platform.
Designed for a financial services professional who thrives on ownership and follow-through.
Keep everything moving with autonomy, visibility, and long-term stability.
Cross Financial is a growing RIA platform that serves as the operational backbone for advisory businesses. They are an independent member of the Crete Professionals Alliance, committed to fostering a supportive and inclusive workplace where every team member can thrive.
Receives and responds to incoming calls from investment professionals, plan sponsors and members.
Understands the different product suites and interprets changes to new and old products.
Identifies the question(s) behind the question to proactively offer consultative expertise and uncover the unstated need.
Nationwide is a Fortune 100 company with nearly $70 billion in annual sales that delivers extraordinary care to help individuals and businesses prepare for and protect their future. They have a caring culture and are named one of the Fortune 100 Best Companies To Work For.
Investigating alleged violations of program requirements.
Drafting letters regarding program violations.
Identifying trends in consumer complaints and program violations.
Energy Solutions focuses on market-based programs to deliver large-scale energy, carbon, and water-use savings. Since 1995, they've offered performance-based solutions for utility, government, and institutional customers and have a supportive and energetic culture.
Partner with product and marketing teams to ensure compliance with consumer protection regulations.
Monitor and analyze new and evolving regulatory requirements, assessing their impact on products.
Manage and develop a team of compliance professionals by setting clear expectations.
EarnIn is a pioneer of earned wage access, building products that deliver real-time financial flexibility for those with the unique needs of living paycheck to paycheck. It is a fast-growing company with experienced leadership and world-class funding partners.
Take complete end-to-end oversight of our regulatory licensing programs, ensuring every submittal and renewal is executed timely with 100% accuracy.
TrueAccord is a company that focuses on modernizing debt collection using AI and machine learning. They aim to provide a better experience for consumers and improve recovery rates for creditors. They are known for their innovative approach to compliance and technology solutions in the financial services industry.
Lead end-to-end investigations into compliance and ethics.
Translate complex regulations into practical guidance.
Identify systemic risks and ensure robust remediation.
Rula is dedicated to treating the whole person and aims to create a world where mental health is embraced as an integral part of one's overall well-being. They are a remote-first company that is dedicated to having a culture of inclusion that will support their employees.
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.