Design, implement, and maintain the firm’s written compliance policies and procedures.
Conduct an annual review of the adequacy of the firm’s compliance policies and procedures.
Identify and assess regulatory risks across all business activities.
Kraken builds the future of crypto with a world-class team united by the desire to unlock the potential of crypto and blockchain technology. It is a fully remote company with Krakenites in 70+ countries and is committed to industry-leading security and crypto education.
Design & Implement: Create broker-dealer and investment advisory written procedures and SOPs that align with evolving regulatory requirements.
Review & Refine: Audit public communications and marketing materials to ensure they are consistent with regulatory guidelines and internal policies.
Voice of the Customer: Review customer communications to detect, identify, and document customer complaints, ensuring every concern is addressed with integrity.
Acorns is a financial wellness app helping people and families save and invest for the long term. They have grown into a global company with multiple life-stage products serving the needs of kids, teens, adults, and parents and have helped over 14 million people save & invest over $25 billion dollars.
Review written communication for FINRA compliance and prevent non-compliant actions.
Review user transaction documents and support legal/compliance issues.
Assist in compliance Due Diligence and KYC/AML tasks.
Finalis is the leading platform enabling the securities brokerage landscape to operate legally and compliantly. Launched in 2020 and growing rapidly, the SF- and NYC-based firm is on a mission to power dealmakers by building the world’s largest dealmaking platform.
Support the design, maintenance, and execution of the UK compliance monitoring programme covering regulatory obligations.
Conduct risk-based compliance monitoring reviews and thematic testing to assess the effectiveness of regulatory controls.
Prepare monitoring reports and document monitoring findings, identify control weaknesses, and support the tracking of issues.
Kraken is a mission-focused company rooted in crypto values that aims to accelerate the global adoption of crypto, so that everyone can achieve financial freedom and inclusion. As a fully remote company, they have Krakenites in 70+ countries who speak over 50 languages.
Research, interpret and advise on SEC and SRO rules.
Draft and submit rule changes and amendments with the SEC.
Work directly on regulatory examinations and lead LTSEs responses.
The Long-Term Stock Exchange (LTSE) is an SEC-registered national securities exchange designed to promote fair and orderly markets, as well as help long-term focused companies get the credit they deserve. LTSE works with companies to identify long-term investors that will value their efforts to prioritize sustainable, long-term growth.
Conduct compliance risk assessments for products and operational changes.
Translate regulatory expectations into practical controls.
Design and implement scalable compliance controls.
EarnIn builds products that deliver real-time financial flexibility for those with the unique needs of living paycheck to paycheck. They are a fast-growing company with experienced leadership and world-class funding partners, aiming to bring world-class talent onboard.
Monitor and maintain compliance with relevant laws and regulations.
Assist with the formation of investment vehicles.
Assist with investor onboarding, inquiries, and requests.
Allocate is the intelligent operating system for private market investing. They help wealth advisors, institutional investors, and fund managers access curated opportunities, launch private vehicles, and manage portfolios without operational drag. They value a commitment to continuous improvement and civil discourse.
Provide day-to-day compliance support for Gravie’s Individual Coverage Health Reimbursement Account (ICHRA) line of business.
Manage and oversee regulatory filings, facilitate response to regulatory complaints, and execute regulatory change management process.
Provide general compliance support and expertise to operational areas, and perform risk-based oversight audits.
Gravie aims to create health benefits that actually benefit small and midsize businesses and their employees. Their innovative benefit solutions and services are developed and delivered by a diverse group of unique people, and they encourage employees to be their authentic selves.
Accountable for the regulatory inventory, regulatory compliance products library for Pismo and DPS Products.
Monitor regulatory environments assisting your product teams in finding and understanding changes in regulations through new legislation, changes in guidance and examiners' manuals.
Working with Product on new and improved features and products research and identify regulations, review them for applicability by working with product, legal, and others.
Pismo, founded in 2016, provides a comprehensive processing platform for banking, card issuing and financial market infrastructure. With 500+ employees across 10 countries, they help clients innovate and transition from legacy systems to advanced technology, maintaining high security and availability standards.
Lead end-to-end investigations into compliance and ethics.
Translate complex regulations into practical guidance.
Identify systemic risks and ensure robust remediation.
Rula is dedicated to treating the whole person and aims to create a world where mental health is embraced as an integral part of one's overall well-being. They are a remote-first company that is dedicated to having a culture of inclusion that will support their employees.
Prepare regulatory filings, conduct routine audits, and organize documentation for legal reviews.
Collaborate with attorneys and business leaders to support compliance initiatives and respond to regulatory inquiries.
Provide guidance to internal stakeholders on compliance requirements.
AffirmedRx aims to improve healthcare outcomes by bringing clarity, integrity, and trust to pharmacy benefit management. They are committed to making pharmacy benefits easy to understand, straightforward to access, and always in the best interest of employers. and the lives they impact.
Prepare Board/Management Committee packages and division reports.
Conduct due diligence and research using WorldCheck, LexisNexis, and internet sources.
Analyze AML alerts and perform customer research using internal and external sources.
iCIMS is a recruiting software company that empowers organizations to attract, engage, hire, and advance the right talent. They offer a cloud-based platform and have a large customer base.
Take complete end-to-end oversight of our regulatory licensing programs, ensuring every submittal and renewal is executed timely with 100% accuracy.
TrueAccord is a company that focuses on modernizing debt collection using AI and machine learning. They aim to provide a better experience for consumers and improve recovery rates for creditors. They are known for their innovative approach to compliance and technology solutions in the financial services industry.
Responsible for ensuring that the Value Hub adheres to regulatory standards, contract requirements, and internal quality benchmarks.
Analyzing compliance data, preparing detailed reports, and working closely with various departments to maintain and improve compliance and quality standards.
Supporting the understanding of local regulatory requirements, completion of local audits, participation in quality committees, and supporting health plan needs and interactions to ensure consistent implementation of contractual obligations.
CommonSpirit Health has more than 700 care sites across the U.S. from clinics and hospitals to home-based care and virtual care services. They are committed to building healthy communities advocating for those who are poor and vulnerable and innovating how and where healing can happen both inside their hospitals and out in the community.