Review financial services product applications for suitability in accordance with broker-dealer procedures and FINRA regulations.
Serve as a resource for agents and registered personnel on product suitability and transaction documentation.
Develop exception reports and surveillance systems to support supervision of registered and non-registered personnel.
Horace Mann provides insurance and financial products tailored to educators, helping them protect assets and plan for the future. Serving over 4,100 school districts nationwide, the company is publicly traded on the NYSE and holds more than $12 billion in assets.
Conduct compliance reviews, mock SEC/FINRA examinations, and branch office assessments for investment advisers and broker-dealers.
Manage client engagements from planning and testing through reporting and remediation, translating complex regulatory requirements into risk-rated findings.
Mentor junior consultants, contribute to industry education, and guide clients in using compliance technology solutions.
This company provides compliance consulting services to financial services firms, helping investment advisers and broker-dealers strengthen regulatory frameworks and maintain audit readiness. It fosters a collaborative, technology-driven culture with opportunities for professional development, mentorship, and industry thought leadership.
Set the strategic direction and long-term roadmap for Extend's regulatory compliance program, spanning licensing, service contracts, and insurance.
Serve as the executive-level owner for regulatory and licensing matters, representing compliance in front of regulators and auditors.
Partner with cross-functional teams to embed compliance requirements into merchant onboarding, customer experience, and product workflows.
Extend provides AI-driven solutions for retailers to enhance post-purchase customer satisfaction and drive revenue growth. The company works with more than 1,000 merchant partners, is backed by prominent technology investors, and is headquartered in downtown San Francisco.
Serve as the primary point of contact for clients, handling inquiries and educating on services.
Support onboarding of new clients and process account documentation accurately.
Monitor client account activity and coordinate with custodians and internal teams.
LPL Financial is a wealth management firm that supports financial advisors and institutions. With over 32,000 advisors and $2.3 trillion in assets, it fosters a collaborative and innovative culture.
Lead the regulatory launch and growth of a newly established ETF distribution and statutory underwriting business.
Own the entity's P&L, pricing strategy, and financial performance while building governance, controls, and a team.
Oversee the transition of distribution and marketing compliance activities from an external provider and manage multi-stakeholder relationships.
They are establishing a new ETF distribution and statutory underwriting business within a regulated financial-services environment. The company is in a launch phase, building its operating model, governance, and team in a lean, evolving setting.
Serve as the primary compliance partner to Sales, Partnerships, and Underwriting, providing fast, practical guidance on prospects and deals.
Lead compliance strategy for gaming and gambling verticals and shape underwriting standards for high-risk sectors like nutraceuticals, wellness, and CBD.
Translate laws, card network rules, and sponsor bank requirements into clear procedures and playbooks for business and product teams.
Finix builds the global operating system for fintech, starting with payments, processing tens of billions of dollars annually for businesses from startups to public companies. Founded in 2015 and headquartered in San Francisco, Finix has raised over $200M and is backed by major investors.
Lead advanced compliance activities for healthcare administrative products including HSAs, FSAs, HRAs, and COBRA.
Apply expert regulatory judgment to risk assessments, compliance monitoring, investigations, and corrective actions.
Collaborate with stakeholders to integrate compliance requirements into strategic initiatives and leverage AI-powered tools.
HealthEquity empowers healthcare consumers by providing administrative solutions like HSAs, HRAs, FSAs, and COBRA. The company is a large, mission-driven organization that values inclusion and connects health and wealth for American families.
Leads the compliance team and program for tax division bank products, ensuring adherence to federal and state regulations.
Directs risk management, loss prevention, Power BI reporting, and compliance reviews.
Collaborates with BSA/AML, business risk, and regulators on controls and oversight.
Pathward is a financial empowerment company that works with innovators to increase financial availability, choice, and opportunity for all. They celebrate differences and embrace a HUMBLE*HUNGRY*SMART culture.
Provide exceptional support to high-value clients by resolving complex issues with empathy.
Conduct personalized, goal-oriented conversations to support customers' financial journeys.
Collaborate with internal teams to share insights and improve products and services.
Robinhood is a financial services company on a mission to democratize finance for all. It is a fast-moving, high-performing team using frontier technologies to tackle the world's biggest financial problems.
Own the end-to-end operational lifecycle for Atomic Brokerage, including clearance and settlement, corporate actions, account onboarding, and daily reconciliations.
Serve as designated supervisory principal for operations, writing and defending supervisory procedures in FINRA and SEC exams.
Partner with engineering, FinOp, compliance, and legal teams to strengthen controls, automation, and regulatory reporting as we scale self-clearing infrastructure.
We build critical financial infrastructure that allows consumer-facing companies to offer engaging investing experiences, from ESG investing to treasury bills and equities. We have raised $55M and are a fast-growing, mission-driven team of financial empowerment enthusiasts from tech, banking, finance, and law.
Build trust with state healthcare regulatory boards and agencies to drive growth of the CE Broker solution.
Serve as the primary point of contact for assigned state partners, guiding operational efficiency and compliance.
Navigate multi-year government decision cycles with a consultative, relationship-first approach.
Propelus simplifies workforce compliance management across healthcare, providing technology and strategic partnerships that empower professionals, employers, and regulators. A trusted leader for over 20 years, the company serves millions with seamless compliance solutions and has been named a BuiltIn 2025 Best Places to Work.
Prepare suitability reports across a wide range of advice types, financial products, and investment solutions.
Support financial planners with client meetings, including cashflow modelling and technical research.
Manage your own workload to meet targets while complying with FCA guidelines.
Evelyn Partners is a UK leader in wealth management, providing personalised investment management and financial planning advice. They are a team of passionate professionals guided by purpose, with a diverse and inclusive culture.