Design and execute the annual compliance testing program for the broker-dealer and RIA, including FINRA 3110 and SEC 206(4)-7.
Act as a key contact during regulatory examinations, managing data requests and supporting internal investigations.
Maintain policies and procedures inventory, including Written Supervisory Procedures, and assist with regulatory filings.
Mercury is a fintech company building banking and financial infrastructure for startups, offering services through partner banks. The company values compliance as a foundation for trust and growth, fostering a collaborative and diverse work environment.
Perform supervisory reviews and approvals of client accounts and transactions requiring oversight.
Research and resolve complex account, suitability, and regulatory matters.
Monitor supervisory systems to identify unusual activity and potential risks.
Raymond James is a diversified financial services firm providing wealth management, capital markets, and banking. Founded in 1962, it has a people-first culture and operates across the US, Canada, UK, and Germany.
Translate regulatory and financial reporting requirements into report logic and data definitions.
Develop, maintain, and update compliance reports for state filings, audits, and other obligations.
Investigate reporting discrepancies, isolate root causes, and drive remediation with engineering and finance.
Kin makes homeowners insurance and related products simpler and more affordable using data, technology, and human support. Founded in 2016, Kin is a remote-first employer with over 35 states and has been recognized as a Best Place to Work and a Great Place to Work.
Collect, review, and analyze applicants' financial information including bank statements, credit reports, and business financial statements.
Directly communicate with clients and sales teams about application status and additional document requirements.
Make underwriting decisions to approve, decline, or seek exceptions based on policy guidelines and risk assessment.
Motive empowers the people who run physical operations with tools to make their work safer, more productive, and more profitable. The company serves nearly 100,000 customers across various industries and fosters a diverse and inclusive workplace.
Support due diligence reviews for new and existing partners, including fintechs, financial institutions, and vendors.
Communicate with global partners to guide them through onboarding requirements and outstanding documentation.
Collaborate with internal teams to ensure compliance, AML, and risk standards are met before launch.
Alpaca is a US-headquartered global leader in agent-first brokerage infrastructure for stocks, ETFs, options, crypto, and more. With a team of 400+ globally distributed members, we foster a diverse, remote-first culture built on curiosity, empathy, and accountability.
Provide timely, business-grounded guidance on legal and regulatory implications of new features and product lines, including AI tools, ETFs, and research products.
Advise on federal and state securities laws, especially the Investment Advisers Act, and draft/facilitate regulatory documents.
Partner with cross-functional teams to develop compliance programs, draft legal disclosures, and manage risk in marketing and member-facing communications.
The Motley Fool is a purpose-driven financial services company on a mission to make the world smarter, happier, and richer. For 30 years, we've been helping people make better investment decisions through transparency, education, and Foolish fun, with a fast-moving, collaborative team that values high-quality work and curiosity.
Prepare suitability reports across a wide range of advice types, financial products, and investment solutions.
Support financial planners with client meetings, including cashflow modelling and technical research.
Manage your own workload to meet targets while complying with FCA guidelines.
Evelyn Partners is a UK leader in wealth management, providing personalised investment management and financial planning advice. They are a team of passionate professionals guided by purpose, with a diverse and inclusive culture.
Serve as the regional point of contact for Transaction Specialists, ensuring consistent process adherence and operational excellence.
Work directly with agents to move transactions efficiently from contract to close, partnering with Brokers of Record to confirm compliance and documentation accuracy.
Act as a subject matter expert in Total Brokerage and SkySlope, guiding the team and agents in efficient platform use and supporting process improvements.
SERHANT. is the most followed real estate brand in the world, innovating through media and content creation to deliver proven results for buyers, sellers, and developers. The company is powered by a full-service in-house film studio and an amplification platform, with a culture that values inclusion, respect, and diversity.
Support multiple regulatory exams and external audits for licensed jurisdictions, providing a standardized framework and preparing data requests.
Understand applicable regulations to ensure audits are designed to identify control gaps and non-compliance with laws.
Assist in driving compliance initiatives to completion and preparing status reports for management updates.
Binance is a leading global blockchain ecosystem behind the world’s largest cryptocurrency exchange by trading volume and registered users. With a presence in 100+ countries and trusted by 300+ million people, we offer a flat, user-centric structure that values autonomy and innovation.
Review all marketing collateral to ensure compliance with consumer protection and financial regulations.
Stay current on federal and state consumer lending regulations and monitor their implementation across operations.
Support audits and bank partner inquiries while leveraging RegTech and AI tools for compliance monitoring.
Wisetack builds transparent consumer lending products that help service-based businesses thrive, from HVAC companies to auto repair shops. It is a well-funded startup backed by leading VCs, with a healthy culture recognized by Great Places to Work and high customer NPS.
Conduct comprehensive merchant application reviews covering KYC and AML rules.
Analyze flagged transactions and make well-reasoned recommendations for payment processing compliance.
Collaborate with internal teams and external partners while managing customer escalations.
Boulevard provides the first and only client experience platform for appointment-based, self-care businesses, empowering customers to deliver more magical moments. Processing over $3B annually and growing fast, the company values diversity, experimentation, and taking care of its team.