Provide senior-level compliance consulting services to investment advisors.
Manage ongoing client relationships and deliver high-quality service.
Serve as a senior subject matter resource for consultants across the organization.
Comply is a leading provider of compliance SaaS and consulting services for the global financial services sector. With more than 5,000 clients and hundreds of employees across the globe, Comply empowers Chief Compliance Officers and their teams to proactively manage regulatory obligations, mitigate risk, and scale with efficiency and confidence.
Conduct daily trade surveillance reviews across multiple asset classes including equities, options, crypto, futures, and other instruments.
Analyze client trading behavior to identify potential market abuse, policy breaches, or regulatory concerns.
Investigate suspicious activity and prepare clear escalation reports for further review or action.
This role is listed on behalf of a partner company, a regulated investment environment. They offer a competitive compensation package and focus on learning, development, and career growth in a high-performing inclusive workplace.
Provide onboarding documentation to prospective Advisors.
Obtain and review completed onboarding documentation while providing guidance.
Ensures compliance with industry rules and platform policies.
Raymond James is a diversified financial services company providing wealth management, capital markets, asset management, banking and other services to individuals, corporations and municipalities. Founded in 1962 with locations and subsidiaries across the United States, Canada, the United Kingdom and Germany.
Collaborate closely with the Merchant Risk team to identify, assess, and mitigate compliance risks associated with merchant and platform partners.
Review and approve financial services marketing materials to ensure they comply with regulations and industry standards.
Work cross-functionally with departments such as Compliance, Legal, Risk, and Revenue to complete reviews and address compliance issues and their root causes.
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. They are a remote-first company, with a dedicated group of professionals committed to helping Affirm scale, innovate, and provide outstanding products.
Handling legal and regulatory matters for Crypto.com’s CFTC and SEC registered businesses in the US.
Assisting in drafting, reviewing and updating policies/procedures and terms and conditions related to the trading of various regulated products in the US.
Reviewing marketing and sales literature, presentations, and other educational materials for compliance with applicable CFTC, NFA, FINRA and SEC laws and regulations.
Crypto.com is the world's fastest growing global cryptocurrency platform serving more than 150 million customers. They are built on a foundation of security, privacy, and compliance and committed to accelerating the adoption of cryptocurrency.
Provide compliance advisory support across UK regulatory requirements including mortgages, consumer credit, and savings products.
Undertake regulatory horizon scanning and advise senior stakeholders on FCA matters, ensuring good customer outcomes.
Support product governance, policy reviews, and compliance training materials across the bank.
Tandem is a UK digital challenger bank focused on sustainable banking and helping customers make better financial choices. With over 500 employees across the UK, it has been recognized as one of The Sunday Times Best Places to Work for 2024 and 2025 and a fast-growing tech company.
Lead and monitor the bank's CRA program to ensure ongoing regulatory compliance and performance.
Partner with leadership to evaluate community development investments and coordinate regulatory examinations.
Provide guidance and training to business units on lending compliance requirements and regulatory expectations.
Ocean Bank is a financial institution focused on community development and regulatory compliance. The bank values a collaborative culture and regulatory excellence, with a team that balances compliance with meaningful community impact.
Support preparation and filing of periodic and current reports, including Forms 10-K, 10-Q, 8-K, and related exhibits and schedules.
Assist with equity plan administration, including tracking grants, vesting, exercises, settlements, and disclosures.
Help maintain corporate records, board and committee materials, and governance documentation.
Wealthfront's mission is to create a financial system that favors people, not institutions. They build powerful, low-cost, and easy-to-use financial products. Wealthfront has over 1 million clients and $85 billion of their hard earned savings.
Provide support on regulatory compliance requirements and conduct gap assessments of business unit procedures against global policies.
Collaborate with Legal, Information Security, and business teams to manage compliance risks and support regulatory exams.
Maintain an understanding of business processes, products, and services while participating in exams as a subject matter expert.
Experian is a global data and technology company operating across financial services, healthcare, automotive, and more. With 25,200 employees across 32 countries, they have an award-winning, inclusive, and purpose-driven culture.
Prepare, develop, and issue policy contracts in compliance with state regulations and company guidelines.
Maintain forms library, assist with policy automation, and ensure timely and accurate fulfillment.
Collaborate with Underwriting, Claims, Legal, and Actuarial teams to deliver high-quality insurance products.
Crum & Forster (C&F) provides specialty and standard commercial lines insurance products through admitted and surplus lines companies, with a history dating to 1822. With over 2000 employees across the US, the company has earned a Great Place to Work award for its employee-first focus and commitment to diversity, equity, and inclusion.
Administer full-cycle 401(k) and cross-tested retirement plans, including compliance testing and valuations.
Process participant transactions, reconcile assets, and prepare IRS forms.
Communicate with clients and recommend plan design changes for compliance.
Strongpoint Partners is a tech-enabled retirement services platform for small to mid-sized businesses. Recognized as one of Inc. 5000's fastest growing private companies and a Great Place to Work, it operates a network of 19 firms.
Serve as a senior security and compliance advisor for clients in finance, VC, PE, and biotech, translating complex requirements into practical action plans.
Lead consultative conversations on governance, risk, controls, AI adoption, and audit readiness, delivering clear executive-level recommendations.
Build and refine Outpost's service delivery playbooks, templates, and documentation to scale the offering and improve client experience.
Pliancy is fundamentally changing how businesses value technology, specializing in IT support for life sciences, capital management, and startups. With a people-first culture, the company prioritizes curiosity and empathy, investing in long-term employee success.
Execute month-end and quarter-end close processes with the accuracy and timeliness required for financing reporting.
Prepare and review journal entries, account reconciliations, and supporting schedules in compliance with US GAAP.
Support external audits and tax preparation by providing documentation and schedules.
Securitize is a leader in tokenizing real-world assets, managing over $3.7B+ AUM, and bringing the world on-chain through tokenized funds in partnership with top-tier asset managers. It is a global, fully remote team backed by names in finance and technology, including BlackRock and Morgan Stanley.
Assist in the ongoing development, implementation, and maintenance of the Company’s compliance program.
Develop policies and procedures that provide appropriate guidance and instruction to Company employees.
Lead the development and delivery of compliance training programs for employees at all levels.
Orca Bio is a late-stage biotechnology company redefining the transplant process by developing next-generation cell therapies. They aim to provide significantly better survival rates with dramatically fewer risks. They have a start-up culture of camaraderie and leadership by example.
Supports and demonstrates IMA's core values, performing basic certificate reviews and ensuring completeness.
Gains proficiency in key systems like Outlook, Teams, SharePoint, TrustLayer, and myCOI for daily tasks.
Develops time management skills to meet deadlines and prioritize tasks with quality focus.
IMA Financial Group is an insurance brokerage and financial services firm serving a range of industries. It is a large company with an employee ownership culture, recognized as a best place to work and a fast-growing company.