Execution of the risk-based branch exam program in FINRA-registered and non-registered Private Client Group branches across the country.
Clear communication of all exam findings to branch management, exam managers and compliance leadership.
Ensure risks and adverse trends are identified and escalated.
Raymond James is a diversified financial services company providing wealth management, capital markets, asset management, banking and other services to individuals, corporations and municipalities. They have locations and subsidiaries across the United States, Canada, the United Kingdom and Germany.
Prepare for new client onboardings by sending disclosures, inputting workflows, data gathering, generating paperwork, creating tasks, and documenting to dos.
Respond to client requests with timeliness and accuracy in mind, with the goal of handling most client requests without advisor oversight.
Assist Advisors with client meeting prep and follow-up tasks.
Oakwell Private Wealth Management is a financial planning firm based in Austin, TX. They pride themselves on building relationships with their clients through education, integrity, collaboration, and commitment.
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.
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.
Answers inbound calls regarding customer account questions and issues.
Creates detailed documentation and cross-sells basic products and services.
Provides information about basic products and services.
Flagstar Bank is a leading regional bank committed to partnering with clients to set goals together, helping them thrive. At December 31, 2025, it had $87.5 billion in assets, $60.7 billion in loans, $66 billion in deposits, and $8.1 billion in total stockholder equity with approximately 340 locations.
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.
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.
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.
Educate clients on retirement, wealth protection, and financial strategies.
Conduct financial needs analyses and help develop personalized financial game plans.
Build long-term relationships with clients and families.
Traction Forge Financial, powered by the strength of Global Financial Impact (GFI), is expanding throughout Missouri. They are seeking motivated, entrepreneurial-minded individuals interested in building a career in financial services.
Hire, train and lead a team of investor service generalists.
Handle escalations and improve customer satisfaction.
Review team deliverables for accuracy.
Juniper Square unifies technology, data, and fund administration services into a single platform that helps GPs move faster, make better decisions, and scale with precision. They have 1,000+ employees and their culture is built for people who want to do ambitious, meaningful work alongside exceptionally talented teammates.
Support the end‑to-end onboarding of new customers from handoff to go‑live.
Build positive, trusted relationships with customer contacts to ensure every customer is referenceable.
Help customers understand the benefits of front-line risk prevention, fraud reduction and process improvements.
Financial Operations Networks (FON) provides vendor information management solutions, protecting some of the largest companies. They combine the agility of a startup with the stability of an established industry leader, helping senior finance professionals keep their operations ahead of risk and fraud since 2001.
Oversee the preparation and review of SEC filings and investor communications.
Manage a team of four, including two direct reports, and foster a culture of accountability.
Review technical accounting memorandums and provide guidance on U.S. GAAP matters.
Life360's mission is to keep people close to the ones they love by offering location sharing, safe driver reports, and crash detection. Life360 has more than 500 remote-first employees and is committed to innovation and delivering for their customers.
Collecting, reviewing, and organizing essential financial documentation from clients with accuracy and timeliness.
Building and maintaining strong client relationships by delivering clear, proactive, and professional communication throughout the onboarding process.
Addressing client questions related to BHG, our financial products, and the loan origination process.
BHG Financial provides financial solutions to accomplished professionals, small businesses, and institutions. They are dedicated to helping clients build upon their success through innovative financial solutions and a hassle-free process. BHG Financial has an award-winning culture.
Assist Senior Loan Processors in gathering and organizing loan file information.
Make timely follow-up calls to quickly compile accurate file information.
Work with vendors, title companies, and banks to gather necessary loan file information.
Cascade Financial Services is a trusted lender in Attainable Housing, helping families realize the dream of home ownership through tailored mortgage loan solutions. Since 1999, they've grown leveraging automation and skilled professionals.
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.
Leading the full onboarding lifecycle for new clients - from kickoff through transition to their long-term team
Developing client relationships - building trust through clear communication and strong financial guidance
Building, refining, and scaling onboarding processes to improve speed, quality, and client experience
Breakwater Accounting & Advisory provides outsourced accounting services to small businesses and nonprofits across the U.S. We are a woman-led company, a four-time Top Workplace (Delaware News Journal), and an Inc. 5000 fastest-growing company.
Execute month-end and quarter-end close processes with the accuracy and timeliness required for financing reporting.
Prepare and review journal entries, account reconciliations, and supporting schedules in compliance with US GAAP.
Support external audits and tax preparation by providing documentation and schedules.
Securitize is a leader in tokenizing real-world assets, managing over $3.7B+ AUM, and bringing the world on-chain through tokenized funds in partnership with top-tier asset managers. It is a global, fully remote team backed by names in finance and technology, including BlackRock and Morgan Stanley.