Serve as named Fund CCO and AML Officer for multiple 1940 Act clients, owning complex relationships across mutual funds, ETFs, interval funds, and multi-sub-adviser funds.
Lead each client's compliance program, present to fund boards, prepare Rule 38a-1 reports, and manage SEC examinations.
Manage and develop a team of compliance professionals and drive business development for the Fund CCO service line.
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.
This company provides compliance consulting services to financial services firms, helping investment advisers and broker-dealers strengthen regulatory frameworks and maintain audit readiness. It fosters a collaborative, technology-driven culture with opportunities for professional development, mentorship, and industry thought leadership.
Manage day-to-day compliance operations for a broker-dealer, including supervisory systems and FINRA examinations.
Oversee registered representative management, including Form U4/U5 filings and licensing coordination.
Serve as primary client contact on registration and supervisory matters while leading compliance improvement initiatives.
PINE Advisor Solutions provides institutional-quality outsourced solutions for funds and investment managers. It is a fast-growing organization with a collaborative culture focused on client service.
Leads the compliance team and program for tax division bank products, ensuring adherence to federal and state regulations.
Directs risk management, loss prevention, Power BI reporting, and compliance reviews.
Collaborates with BSA/AML, business risk, and regulators on controls and oversight.
Pathward is a financial empowerment company that works with innovators to increase financial availability, choice, and opportunity for all. They celebrate differences and embrace a HUMBLE*HUNGRY*SMART culture.
Assist with e-communication surveillance, compliance checklists, and policy maintenance.
Support due diligence questionnaires, risk assessments, and regulatory examinations.
Help govern committees and prepare materials for internal audits and regulatory inquiries.
Ondo Finance provides institutional-grade blockchain-enabled investment products and services, including tokenized funds and decentralized finance technology. The well-funded, fully remote company is backed by top investors and led by a team of industry veterans.
Own and drive the US and Canada regulatory and compliance strategy.
Lead licensing, regulatory exams, and audits while partnering with business and product teams.
Oversee AML/CTF and sanctions programs, ensuring compliant innovation across GoCardless products.
GoCardless, a Mollie company, is a global leader in bank payments, helping 100,000+ businesses send and collect payments via Direct Debit and open banking. With 806 employees globally, we process $130bn+ annually and foster a humble, integrity-driven culture.
Lead and direct Human Interest's compliance program to ensure adherence to ERISA, DOL, and IRS regulations.
Modernize compliance workflows and build cross-functional feedback loops for root-cause analysis on errors.
Own technology-driven initiatives with Product to improve platform-wide plan compliance health.
Human Interest is a fintech company on a mission to ensure access to retirement benefits for all workers. It is a high-growth startup backed by top investors, with a culture focused on customer obsession and long-term growth.
Own the BSA/AML, counter-terrorist financing, and OFAC sanctions compliance program across fiat and digital asset activity.
Serve as the primary BSA/AML contact for regulators, lead examinations, and manage SAR/CTR filings and investigations.
Build and scale the financial crimes compliance team, including budgeting, vendor management, and training.
Telcoin Digital Asset Bank is a Nebraska-chartered digital asset depository institution that provides regulated banking and blockchain-based financial services. As a newly forming bank, it offers a startup-like environment with direct access to leadership and the chance to build compliance culture from the ground up.
Set the strategic direction and long-term roadmap for Extend's regulatory compliance program, spanning licensing, service contracts, and insurance.
Serve as the executive-level owner for regulatory and licensing matters, representing compliance in front of regulators and auditors.
Partner with cross-functional teams to embed compliance requirements into merchant onboarding, customer experience, and product workflows.
Extend provides AI-driven solutions for retailers to enhance post-purchase customer satisfaction and drive revenue growth. The company works with more than 1,000 merchant partners, is backed by prominent technology investors, and is headquartered in downtown San Francisco.
Serve as the primary compliance partner to Sales, Partnerships, and Underwriting, providing fast, practical guidance on prospects and deals.
Lead compliance strategy for gaming and gambling verticals and shape underwriting standards for high-risk sectors like nutraceuticals, wellness, and CBD.
Translate laws, card network rules, and sponsor bank requirements into clear procedures and playbooks for business and product teams.
Finix builds the global operating system for fintech, starting with payments, processing tens of billions of dollars annually for businesses from startups to public companies. Founded in 2015 and headquartered in San Francisco, Finix has raised over $200M and is backed by major investors.
Drive flawless fund accounting and client service delivery across multiple pods.
Ensure accurate deliverables, compliance, and year-end audit/tax processes.
Develop and mentor a high-performing team, fostering a positive culture and client relationships.
Formulary is a technology-driven fund administration services firm focused on private markets. As an early-stage startup, they are building a category-defining business with a culture of high performance and inclusivity.
Serve as the primary compliance point of contact for strategic partnerships and clients.
Lead the compliance workstream for major brand migrations and become an expert on the Regulated Compliance product.
Monitor compliance processes, ensure accurate documentation, and deliver presentations on compliance matters.
impact.com is the world's leading commerce partnership marketing platform, helping brands manage partnerships with affiliates, influencers, and creators. With over 5,000 global brands relying on the platform, the company fosters a flexible, performance-driven culture.
Oversee ESI Suitability Review so new accounts and daily transactions meet regulatory and company requirements.
Build partnerships with Distribution, Compliance, Legal, and Technology to manage risk and drive results.
Develop leaders, foster continuous improvement, and serve as escalation point for complex suitability issues.
National Life Group is a Fortune 1000 insurance company providing life insurance and annuities that help families plan stable futures. It fosters a collaborative, growth-oriented culture and encourages associates to live its values: Do good. Be good. Make good.
Build and lead Chamber's first compliance function, spanning regulatory, clinical, government programs, IT/security, and internal audit.
Partner with legal, clinical, security, and business teams to embed compliance into workflows, technology, and market expansion.
Serve as the strategic compliance expert for Medicare/Medicaid, HIPAA, CPOM, and risk-based program development.
Chamber is rebuilding the system for cardiology by partnering with independent cardiologists and equipping them with technology, data, and operational tools. The company is an early-stage, mission-driven team focused on transforming heart health through AI-enabled clinical workflows and human-centered care.
Own the compliance program for the venue's SEC exemption, tracking conditions, testing controls, and maintaining records.
Manage public notice and issuer notice processes, including revisions, material-change filings, and tracking delivery.
Oversee participant onboarding and wallet monitoring, reporting to the board and developing a compliance analyst.
OKX is a leading crypto exchange and developer of OKX Wallet, giving millions access to crypto trading and decentralized apps. With multiple global offices, OKX fosters a friendly, diverse environment driven by core principles like We Before Me and Do the Right Thing.
Drive investment management services for Wealth Advisors, consulting on portfolio strategy and objectives.
Serve as the main point of contact for investment and portfolio management, including implementations.
Develop investment deliverables for prospective clients while collaborating with key internal teams.
Mercer Advisors is a financial services firm helping families simplify their financial lives through integrated planning, investment management, tax, estate, and insurance. Serving 42,800+ families across the U.S., it offers a flexible, collaborative culture with many women employees and client-facing professionals.
Lead a centralized national compliance team focused on audit readiness, regulatory compliance, and risk management.
Coordinate audits, regulatory inquiries, fraud prevention, and complex customer escalations with internal and external partners.
Drive process improvements, documentation governance, and consistent operating procedures across multiple business units.
This company is a partner organization hiring through Jobgether. It focuses on title, escrow, and settlement services, with a strong emphasis on regulatory compliance and risk management. The culture is remote-first, collaborative, and results-oriented.