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.
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.
Conduct proactive phone sales presentations to top tier financial advisors.
Partner with wholesaler to drive sales and assets and build relationships with advisors.
Effectively profile advisors to understand their practice, clients and investment process.
LaSalle Investment Management is a global real estate investment manager that applies investment talent, market expertise, and data-driven intelligence through a disciplined fair-value framework. As the investment division of JLL, the company's capabilities are supported by the scale of its global platform.
Work with financial advisors to craft portfolio construction and investment advice for high net worth clients.
Represent the firm’s investment philosophy and platform to local advisor teams and HNW clients.
Provide thought leadership, portfolio construction, service, and analytical support to local advisor teams.
Mercer Advisors helps families amplify and simplify their financial lives by integrating financial planning, investment management, business management, tax, estate, insurance, and more, all managed by a single team. They serve over 31,300 families across 90+ cities across the U.S. and have a flexible, national footprint, building their teams around exceptional talent.
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.
Draft and manage statements of work for customizations, white labels, builds for clients, and change orders.
Partner with sales and post-sales teams to scope custom SOW engagements, define deliverables, timelines, and success criteria.
Plan, coordinate, and drive the delivery of large projects for global key accounts with in-house or outsourced contractors and ISVs.
Sardine is a leader in fraud prevention and AML compliance. They use device intelligence, behavior biometrics, machine learning, and AI to stop fraud before it happens and have hubs in the Bay Area, NYC, Austin, Toronto, and São Paulo, with a remote-first culture.
Build and maintain coaching modules and program playbooks.
Manage the record of advisor and Managing Partner engagements.
Define reporting needs with the BI analyst.
Mercer Advisors has been helping families amplify and simplify their financial lives for more than 40 years. With over 31,300 families across 90+ cities, they integrate financial planning, investment management, tax, estate, insurance, and more.
Own and lead zerohash’s licensing and registration strategy across North America and other Americas jurisdictions.
Design, implement, and continuously improve risk-based compliance programs that are operable across multiple jurisdictions.
Maintain deep working knowledge of zerohash’s AML/BSA regulations, current money laundering typologies, and investigative techniques.
Zerohash is the leading crypto and stablecoin infrastructure platform and the operating system for digital money, powering the next generation of financial services. Founded in 2017, zerohash enables banks, brokerages, fintechs, and payment companies to offer crypto trading, stablecoin payments, and tokenized assets without having to build or manage complex blockchain infrastructure on their own.
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.
Review complex individual, partnership, trust, and estate tax returns while managing tax compliance and planning for high-net-worth clients.
Supervise multiple tax engagements, mentor associates on tax issues, and collaborate with partners on client management and business development.
Maintain active client communication to ensure satisfaction, meet deadlines, and serve as a business adviser by recommending process improvements.
Gursey | Schneider LLP is a public accounting firm providing tax, audit, and advisory services. It is a Top 100 Firm with over 200 professionals and fosters a culture of creative problem-solving and professional development, offering perks like annual trips and mixers.
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.
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.
Build and scale our compliance program across the US, Canada, and Latin America.
Design and implement comprehensive compliance policies, procedures, and systems that enable compliant growth while managing risks.
Serve as point of contact for our US regulated money service business entities and own and enhance OpenFX's BSA/AML programs.
OpenFX is building the infrastructure that will power the next generation of cross-border payment systems for institutions. They have a stellar early team with experience in companies like J.P. Morgan, Goldman Sachs, and Paypal and are backed by Accel, Lightspeed, and NfX.
Handling legal and regulatory matters for Crypto.com’s CFTC and SEC registered businesses in the US.
Assisting in drafting, reviewing and updating policies/procedures and terms and conditions related to the trading of various regulated products in the US.
Reviewing marketing and sales literature, presentations, and other educational materials for compliance with applicable CFTC, NFA, FINRA and SEC laws and regulations.
Crypto.com is the world's fastest growing global cryptocurrency platform serving more than 150 million customers. They are built on a foundation of security, privacy, and compliance and committed to accelerating the adoption of cryptocurrency.
Monitor and ensure compliance with international sanctions regulations.
Manage data protection matters both internally and externally.
Supervise internal compliance processes, including conducting KYC and KYS procedures.
Gcore provides infrastructure and software solutions for AI, cloud, network, and security. They are a global team of 550+ professionals building infrastructure and software that supports the entire digital ecosystem.
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.
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.
Provide advanced case design support to recruiters, financial advisors, and professional advisors.
Conduct phone or virtual consultations with recruiters, financial advisors and professional advisors.
Develop marketing, sales, and educational materials on advanced concepts in estate, retirement, business and charitable planning.
Pacific Life helps people protect their financial futures through strength, stability, and innovation. They are committed to an inclusive workplace where all employees are respected and supported throughout their career.
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.