Conduct comprehensive on-site and remote examinations of branch offices and registered representatives to ensure compliance with FINRA, SEC, and state regulations.
Review client files, trade blotters, and financial records, and interview staff to identify deficiencies and operational weaknesses.
Prepare detailed reports summarizing findings and collaborate with the compliance team to develop proactive solutions.
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.
Serve as Chief Compliance Officer for either the broker-dealer or RIA, building and scaling the compliance program.
Liaise with regulators such as FINRA and SEC, and manage exams and filings.
Oversee supervision, surveillance, KYC/AML, and marketing review, while partnering cross-functionally.
Frec is a fintech company that builds tax-aware investment tools to help investors keep more of their earnings. They have grown rapidly with over $1 billion in customer assets and are backed by Greylock Partners, fostering a fast-paced, customer-centric culture.
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.
Promotes compliance culture by designing and executing monitoring and testing reviews.
Manages multiple compliance reviews, coordinating work and communicating findings to stakeholders.
Maintains knowledge of banking laws, regulations, and best practices for consumer compliance risk management.
Fulton Bank is a financial institution offering banking services. It fosters a culture of continuous learning, work-life integration, and inclusion, with a digitally enabled work environment for employees and customers.
Execute end-to-end audit engagements across multiple jurisdictions, evaluating controls and testing ITGCs and business processes.
Conduct regulatory compliance testing for EU, UK, Hong Kong, and Dubai regulations.
Collaborate with stakeholders, draft audit findings, and drive continuous improvement through data analytics.
EXANTE is a pioneering wealth tech company delivering centralized trading solutions and B2B financial infrastructure. With over 700 employees from 70+ nationalities across 70 locations, the company prioritizes investing in its people.
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.
Support implementation and operation of the Compliance Program, including conflict of interest, compliance hotline, and regulatory reviews.
Serve as liaison for compliance questions and incidents, and recommend corrective actions and education opportunities.
Work with all levels to ensure internal controls provide accurate, complete, and compliant processes.
Cooper University Health Care is a healthcare organization dedicated to providing extraordinary health care and fostering clinical innovation. It offers competitive compensation, comprehensive benefits, and opportunities for professional growth.
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.
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.
Monitor trading activity using surveillance platforms to identify potential market abuse and suspicious patterns.
Conduct investigations into alerts related to spoofing, layering, wash trading, and other manipulative behaviors.
Document findings in audit-ready format and escalate high-risk matters to compliance and legal teams.
The company is a financial services firm focused on market integrity and financial crime prevention. It operates in a fast-paced, technology-driven environment with globally distributed teams.