Serve as Chief Compliance Officer for either the broker-dealer or RIA, building and scaling the compliance program.
Liaise with regulators such as FINRA and SEC, and manage exams and filings.
Oversee supervision, surveillance, KYC/AML, and marketing review, while partnering cross-functionally.
Frec is a fintech company that builds tax-aware investment tools to help investors keep more of their earnings. They have grown rapidly with over $1 billion in customer assets and are backed by Greylock Partners, fostering a fast-paced, customer-centric culture.
Collaborate on risk assessments and develop internal surveillance systems to ensure compliance with securities laws.
Conduct regular audits, identify control deficiencies, and prepare action plan remediation.
Prepare and conduct virtual and physical branch office exams while staying current on regulatory trends.
Mercer Advisors helps families amplify and simplify their financial lives by integrating financial planning, investment management, tax, estate, and more. Serving over 31,300 families across 90+ U.S. cities, they've been ranked #1 RIA firm by Barron's and have a diverse, flexible workforce.
Conduct comprehensive on-site and remote examinations of branch offices and registered representatives to ensure compliance with FINRA, SEC, and state regulations.
Review client files, trade blotters, and financial records, and interview staff to identify deficiencies and operational weaknesses.
Prepare detailed reports summarizing findings and collaborate with the compliance team to develop proactive solutions.
Horace Mann, founded in 1945 by teachers, provides insurance and financial products to help educators protect their assets and prepare for the future. We serve over 4,100 school districts nationwide, are publicly traded on the NYSE, and have more than $12 billion in assets.
Manage compliance monitoring, testing, and reporting for Canadian securities regulations and investment fund requirements.
Provide regulatory guidance across investment management, digital assets, and trading activities.
Support AML, ATF, and financial crime compliance programs while coordinating with regulators and internal teams.
The partner company is a financial services firm operating in investment management, digital assets, and regulatory frameworks. It fosters a remote-first, low-ego culture emphasizing teamwork and execution.
Leads the broker-dealer supervisory program, ensuring FINRA, SEC, and state regulatory compliance.
Establishes strategic objectives for supervision, oversees supervisory activities, and enhances surveillance programs.
Manages regulatory exam preparation, reporting to leadership, and fostering a culture of compliance.
Horace Mann helps educators protect what they have today and prepare for tomorrow, offering insurance and financial products tailored for educators. Publicly traded on the NYSE, serving over 4,100 school districts nationwide with more than $12 billion in assets.
Provide advisory compliance and real-time trading guidance across all asset classes and regions.
Build and maintain a pre-cleared rules framework and oversee regulatory filings and trade surveillance.
Supervise two Compliance Officers and represent compliance in cross-functional discussions.
BHFT is a proprietary algorithmic trading firm that manages the full trading cycle across multiple asset classes. With a team of 200+ professionals, 70% of whom are technical specialists, the company values clarity and transparency in its culture.
Provide strategic and operational compliance expertise to alternative investment organizations through project-based advisory engagements.
Design, implement, and enhance compliance programs for hedge funds, private equity firms, and family offices.
Conduct compliance assessments, risk reviews, and support regulatory examinations and audits.
The company is a network that connects senior compliance professionals with alternative investment firms needing advisory services. It provides client sourcing, engagement management, and administrative support, allowing advisors to work flexibly.
Analyze regulatory frameworks and licensing requirements across multiple jurisdictions.
Translate complex regulatory requests into structured compliance analyses and client deliverables.
Collaborate with engineering and legal teams to develop scalable compliance workflows and knowledge assets.
Our partner is a technology company focused on compliance and digital assets. They operate in a collaborative, international, and fully remote environment with a multidisciplinary team.
Oversee financial and operational compliance with SEC's Net Capital Rule and Customer Protection Rule.
Supervise FOCUS reports, net capital monitoring, and regulatory filings.
Partner with Operations and Finance to ensure accurate financial records and internal controls.
Alpaca is a US-headquartered self-clearing broker-dealer providing brokerage infrastructure for stocks, ETFs, options, crypto, and more. With $320 million in total funding and over 380 employees globally, Alpaca fosters a diverse, remote-first culture with core values of curiosity, empathy, and accountability.
Shape and govern multi-state licensure and regulatory compliance for non-clinical home care operations.
Define strategy, operating model, and governance framework for compliant state expansion and ongoing readiness.
Translate complex state regulations into actionable operational requirements supporting scalable service delivery.
This partner company is a high-impact healthcare organization focused on improving care delivery and outcomes. It operates in a fast-scaling, mission-driven environment with a remote-first work culture.
Own end-to-end CIP decisioning and maintain quality across high-volume programs.
Perform quality assurance on AI-assisted onboarding decisions and document reasoning for regulatory scrutiny.
Support bank partner deliverables and contribute to AML/BSA compliance testing.
Lithic is a modern card issuing and processing platform that powers card programs for over 100 innovative fintech clients, including Mercury, Flex, and Novo. The company is backed by world-class investors and has a team of 170+ employees across 26 states and 7 countries, headquartered in NYC.
Manage internal audits and support external compliance assessments across business functions.
Perform gap analyses and track remediation actions for compliance frameworks.
Maintain and improve compliance documentation, policies, and risk registers.
Our partner is a growing SaaS organization serving global industries. It fosters a collaborative and inclusive culture with a focus on employee development and well-being.
Serve as a subject matter expert on consumer financial protection laws and regulations, issue management, and complaint management.
Supervise, coach, and develop junior compliance team members while driving development and execution of remediation plans.
Provide risk-based compliance guidance to product, operations, and business teams on applicable laws and regulations.
Gemini is a global crypto and Web3 platform founded by Cameron and Tyler Winklevoss in 2014, offering crypto products and services in over 70 countries. As a publicly traded company, Gemini is committed to unlocking the next era of financial, creative, and personal freedom.
Works directly with clients to align plan design with product capabilities and increase launch rates.
Researches and reviews plan documents to identify compliance issues and mitigate risks.
Audits system setup and benefits analysis for accuracy prior to plan launch.
Human Interest is a fintech company on a mission to make retirement benefits accessible for all workers. They are a high-growth startup backed by top investors, with a culture focused on customer obsession and long-term orientation.