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.
Serve as a primary point of contact for employee compliance inquiries, managing incoming compliance requests through the firm’s ticketing system.
Administer employee onboarding, registrations, certifications, and regulatory filings.
Maintain compliance with SEC and state regulatory requirements applicable to a nationally operating registered investment adviser.
Mercer Advisors helps families amplify and simplify their financial lives by integrating financial planning, investment management, tax, estate, and insurance, all managed by a team. They serve over 31,300 families in more than 90 cities across the U.S. and are ranked the #1 RIA Firm in the nation by Barron’s.
Help develop, maintain and improve sound procedures for vetting and monitoring our customers globally.
Introduce and implement innovative sanctions, anti-money laundering (AML) and counter-financing terrorism (CFT) compliance policies, systems and controls for our platform.
Share guidance and expertise when supporting our on-boarding and transaction monitoring colleagues when dealing with escalations.
Remote is solving the challenge of global employment by enabling businesses to compliantly recruit, pay, and manage international teams. They are a future-focused company with a globally distributed workforce, and they value innovation, automation, and diversity.
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.
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.
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.
Review, audit, and manage transaction files to ensure compliance with brokerage and state-specific requirements.
Queue, review, and process commissions with a high degree of accuracy and accountability.
Serve as a primary point of contact for agents, providing timely and accurate support on transaction status, submissions, and payment timelines.
SERHANT. is the most followed real estate brand globally, redefining the traditional brokerage model through media, content, and innovation. Powered by a full-service in-house film studio and amplification platform, they position properties—and their agents—in front of more people than anyone else.
Handling regulatory and compliance issues in conformity with Mercer Advisors’ practices and requirements.
Conduct daily review of marketing materials of recently acquired businesses for compliance.
Proactively work with the business to ensure acquired businesses are integrated successfully to Mercer Advisors.
Mercer Advisors helps families amplify and simplify their financial lives by integrating financial planning, investment management, tax, estate, and insurance. They serve over 31,300 families in more than 90 cities across the U.S. and are ranked the #1 RIA Firm in the nation by Barron’s.
Serve as the Primary Compliance Officer for Alpaca Singapore.
Oversee the end-to-end AML/CFT program.
Develop and maintain compliance policies, procedures, and internal controls.
Alpaca is a US-headquartered self-clearing broker-dealer and brokerage infrastructure for stocks, ETFs, options, crypto, fixed income, 24/5 trading, and more. Our global team of 230+ members is a diverse group of experienced engineers, traders, and brokerage professionals.