Leads the broker-dealer supervisory program, ensuring FINRA, SEC, and state regulatory compliance.
Establishes strategic objectives for supervision, oversees supervisory activities, and enhances surveillance programs.
Manages regulatory exam preparation, reporting to leadership, and fostering a culture of compliance.
Horace Mann helps educators protect what they have today and prepare for tomorrow, offering insurance and financial products tailored for educators. Publicly traded on the NYSE, serving over 4,100 school districts nationwide with more than $12 billion in assets.
Provide strategic and operational compliance expertise to alternative investment organizations through project-based advisory engagements.
Design, implement, and enhance compliance programs for hedge funds, private equity firms, and family offices.
Conduct compliance assessments, risk reviews, and support regulatory examinations and audits.
The company is a network that connects senior compliance professionals with alternative investment firms needing advisory services. It provides client sourcing, engagement management, and administrative support, allowing advisors to work flexibly.
Collaborate on risk assessments and develop internal surveillance systems to ensure compliance with securities laws.
Conduct regular audits, identify control deficiencies, and prepare action plan remediation.
Prepare and conduct virtual and physical branch office exams while staying current on regulatory trends.
Mercer Advisors helps families amplify and simplify their financial lives by integrating financial planning, investment management, tax, estate, and more. Serving over 31,300 families across 90+ U.S. cities, they've been ranked #1 RIA firm by Barron's and have a diverse, flexible workforce.
Own end-to-end CIP decisioning and maintain quality across high-volume programs.
Perform quality assurance on AI-assisted onboarding decisions and document reasoning for regulatory scrutiny.
Support bank partner deliverables and contribute to AML/BSA compliance testing.
Lithic is a modern card issuing and processing platform that powers card programs for over 100 innovative fintech clients, including Mercury, Flex, and Novo. The company is backed by world-class investors and has a team of 170+ employees across 26 states and 7 countries, headquartered in NYC.
Provide advisory compliance and real-time trading guidance across all asset classes and regions.
Build and maintain a pre-cleared rules framework and oversee regulatory filings and trade surveillance.
Supervise two Compliance Officers and represent compliance in cross-functional discussions.
BHFT is a proprietary algorithmic trading firm that manages the full trading cycle across multiple asset classes. With a team of 200+ professionals, 70% of whom are technical specialists, the company values clarity and transparency in its culture.
Oversee financial and operational compliance with SEC's Net Capital Rule and Customer Protection Rule.
Supervise FOCUS reports, net capital monitoring, and regulatory filings.
Partner with Operations and Finance to ensure accurate financial records and internal controls.
Alpaca is a US-headquartered self-clearing broker-dealer providing brokerage infrastructure for stocks, ETFs, options, crypto, and more. With $320 million in total funding and over 380 employees globally, Alpaca fosters a diverse, remote-first culture with core values of curiosity, empathy, and accountability.
Manage compliance monitoring, testing, and reporting for Canadian securities regulations and investment fund requirements.
Provide regulatory guidance across investment management, digital assets, and trading activities.
Support AML, ATF, and financial crime compliance programs while coordinating with regulators and internal teams.
The partner company is a financial services firm operating in investment management, digital assets, and regulatory frameworks. It fosters a remote-first, low-ego culture emphasizing teamwork and execution.
Deliver white-glove customer service through phone, email, and chat channels.
Drive continuous improvement to the customer service experience by identifying and deploying enhancements.
Expand financial services expertise in equities trading, margin, and options.
Crypto.com is a global cryptocurrency platform founded in 2016, serving over 150 million customers. The company fosters a transformational and proactive working environment, empowering employees to develop innovative solutions and grow from within.
Execute quarterly compliance testing and quality control reviews to ensure audit-defensibility.
Collaborate with cross-functional teams on compliance reviews for new product launches and marketing campaigns.
Lead day-to-day governance of the Compliance Management System including BSA/AML oversight and regulatory change tracking.
Engine is transforming business travel into a personalized, rewarding, and simple experience through a platform that combines corporate travel, charge card, and spend management. Over 30,000 companies and 1 million travelers use Engine, and it has been recognized as one of the fastest-growing travel and fintech platforms in North America.
Serve as the designated Money Laundering Reporting Officer (SMF17) for the UK entity, overseeing the financial crimes compliance program.
Lead the development of the Financial Crime Compliance Monitoring Programme and business-wide compliance risk assessment.
Partner with UK Compliance and global Financial Crimes leaders to maintain a clear and effective control environment across onboarding, transaction monitoring, and investigations.
Affirm is reinventing credit to make it more honest and friendly, offering buy now pay later without hidden fees or compounding interest. It is a remote-first company with competitive benefits including full health coverage and stipends.
Develop and execute scalable influencer marketing strategies aligned with company goals around customer acquisition, engagement, and brand trust.
Identify, segment, vet, and onboard influencer partners who resonate with the active trader audience across YouTube, TikTok, Instagram, LinkedIn, X, and emerging channels.
Partner with Compliance and Legal to ensure influencer content, disclosures, disclaimers, and financial promotions meet regulatory standards (e.g., NFA, CFTC, FTC).
NinjaTrader is an industry-leading trading platform and futures broker that empowers traders with cutting-edge products and services. Since 2003, the company has grown to over 2 million users and become the number one rated futures brokerage worldwide, with a dynamic culture focused on social connection, professional development, and employee recognition.
Serve as a subject matter expert on consumer financial protection laws and regulations, issue management, and complaint management.
Supervise, coach, and develop junior compliance team members while driving development and execution of remediation plans.
Provide risk-based compliance guidance to product, operations, and business teams on applicable laws and regulations.
Gemini is a global crypto and Web3 platform founded by Cameron and Tyler Winklevoss in 2014, offering crypto products and services in over 70 countries. As a publicly traded company, Gemini is committed to unlocking the next era of financial, creative, and personal freedom.