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.
Assist in preparation and review of policies, procedures, and agreements.
Research diverse topics; review internal operations and practices to ensure compliance.
Collaborate with teams across marketing, cybersecurity, IT, product, finance, and business functions.
Topstep is an engaging company that exists in both remote and hybrid environments. They foster a culture of collaboration by keeping cameras on during meetings and maintaining a robust Slack environment for communication.
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.
Help manage the day-to-day technical aspects of the established compliance program, including administration of the compliance training program and supervision of the compliance process review program.
Work closely with employees of each business unit, including senior management, to foster a team approach to managing compliance risk by strengthening internal controls and employee training.
Plan and conduct compliance reviews, prepare detailed reporting of findings, and ensure corrective action is taken while monitoring new and pending changes to laws and regulations.
First Bank & Trust is an independent community bank that contributes to the success of its local communities. The company employs almost 700 people and fosters a family-like, collaborative culture where employees are part owners through an ESOP.
Tax planning and preparation for high-net-worth individuals and their related entities.
Performing first reviews on certain individual and fiduciary returns.
Acting as a resource to business management teams for tax planning, tax research, and ongoing education of tax-related developments.
Focus Partners Wealth provides wealth, asset, and business management resources. They bring strength, innovation, and partnership to client relationships with over $180 billion in regulatory assets under management.
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.
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.
Follow company policies/standards to determine if activities or transactions are non-compliant/potentially suspicious and action as appropriate.
Ability to work / investigate alerts in a fast-paced environment while maintaining high quality standards.
Undertake ad-hoc project work and Financial Crime program enhancements.
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 aim to change consumer finance through better technology, lower costs, and increased transparency while providing the best customer experience.
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.
Conducting KYC and due diligence checks on customers, suppliers, and third parties.
Perform sanctions screening and support investigations into potential matches.
Review high-risk transactions, ensuring proper controls and escalation.
IVC Evidensia, the UK and Europe’s leading veterinary care group, is made up of over 900 practices and referral hospitals, united by a shared purpose of happier animals, happier owners. They support their people to make more impact, access more career opportunities, and play an active role in their local and professional communities.
Manage complex executive calendars; coordinate meetings across time zones and align scheduling to priorities.
Plan and accomplish meeting logistics (agenda support, materials, attendee coordination, rooms/virtual links) to ensure executives are prepared.
Be a trusted liaison for the executive's office assessing inbound requests, communicating with internal/external partners, and building relationships.
Experian is a global data and technology company, powering opportunities for people and businesses around the world. A FTSE 100 Index company listed on the London Stock Exchange (EXPN), they have a team of 23,300 people across 32 countries with corporate headquarters in Dublin, Ireland.