Lead daily review of new business and trade alerts to ensure compliance with firm, broker/dealer, and regulatory guidelines.
Build and maintain positive working relationships with advisors, monitor outstanding tasks, and escalate issues to the Supervision Manager as necessary.
Collaborate with the Supervision team on trends and regulatory changes, attend regular meetings, and review client correspondence and support cases.
Assist investment advisers and other financial services firm customers with regulatory obligations.
Process applications for new representatives of investment adviser and broker-dealer firms, including Form U4.
Coordinate with state and SEC regulators to secure registration for customer firms.
Comply is a leading provider of compliance SaaS and consulting services for the global financial services sector. They empower Chief Compliance Officers and their teams to proactively manage regulatory obligations, mitigate risk, and scale with efficiency and confidence, serving thousands of global financial services clients.
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.
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.
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.
Process daily cash and security transfers for the firm’s investment products, ensuring accuracy and efficiency.
Monitor customer cash balances to identify unusual fluctuations and collaborate with cross-functional teams for accurate reporting and compliance.
Improve internal control documentation and contribute to special projects focused on continuous process improvements and operational efficiency.
Acorns is a financial wellness app that helps everyday people and families save and invest money for the long term. The company serves over 14 million customers, has a global remote-first team, and fosters a mission-driven culture focused on values like boldness, trust, and growth.