Own the trading operations and supervisory framework, providing licensed principal oversight and managing operational controls, reconciliations, and escalations.
Lead trade surveillance and operational control frameworks, including supervisory reviews, pre- and post-trade controls, and best execution monitoring.
Manage trading-related reporting obligations, including CAT, CAIS, and TRACE, and serve as the operational escalation point for trade errors and settlement issues.
Mercury is building a complete finance stack for startups, providing banking and financial services. The company values diversity and belonging, and offers a competitive total rewards package including base salary, equity, and benefits.
Lead and scale the full marketing function for a rapidly growing financial services platform.
Shape corporate brand positioning and client-facing marketing capabilities.
Build scalable processes, operating rhythms, and measurement frameworks.
They are a rapidly growing financial services platform operating in the ETF ecosystem. With a focus on building scalable marketing processes, the company fosters a high-performance culture and values strategic leadership.
Provide high-quality support to enterprise-level clients on order entry, execution, and trading issues.
Monitor client trading activity for anomalies and stay informed on market developments and corporate actions.
Collaborate with trading desks, IT, and compliance teams to resolve issues and ensure regulatory compliance.
Alpaca is a US-headquartered global leader in agent-first brokerage infrastructure, offering APIs for stocks, ETFs, options, crypto, and more to financial institutions across 40 countries. With 400+ team members globally, they are a diverse, remote-first group committed to open-source and opening financial services to everyone.
Lead enterprise regulatory strategy and readiness to navigate evolving regulatory expectations.
Design and execute mock examinations and readiness programs to prepare for regulatory scrutiny.
Partner with senior leadership to translate regulatory developments into actionable business strategies.
Empower is a financial services company focused on transforming financial lives. We have a flexible work environment, fluid career paths, and a welcoming inclusive culture.
Design and own the 50/30/20 model portfolio framework and define the rebalancing and tax-loss-harvesting logic.
Select and maintain the actual fund/ETF lineup using clear, defensible due-diligence criteria.
Serve as the named investment lead in regulatory filings and client-facing materials.
StartEngine is a fintech company launching a robo-advisory platform for private-fund clients. It is a rapidly expanding startup with a team of around 14 engineers and a builder-oriented culture.
Review, prepare, and resolve complex account work, including entity accounts and correspondent partners.
Process and support day-to-day accounts workflow, including onboarding, maintenance, and lifecycle changes.
Execute monthly statement and trade confirmation reviews and lead legacy cleanup projects.
Alpaca is a US-headquartered global leader in agent-first brokerage infrastructure for stocks, ETFs, options, crypto, fixed income, and 24/5 trading. Our global team of over 400 members is diverse and backed by $400 million in funding, fostering a culture of curiosity, empathy, and accountability.
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.
Support every company through the life of their raise, running weekly calls and preparing founders for investor meetings.
Manage a book of client companies, from onboarding through close, maintaining momentum and relationships.
Utilize your own investor relationships to connect the right companies with the right allocators at the right time.
Paires is a two-sided platform that helps founders raise capital by connecting them with a global network of investors. It is a small startup where the Portfolio Partner reports directly to the two co-founders and holds the most client-facing seat in the company.
Own and expand the structured solutions product offering, including yield products, tokenisation, and asset-backed lending.
Manage the existing credit fund, including counterparty relationships and credit underwriting.
Set strategic direction, lead the investment committee, and build the team as the function scales.
Xapo Bank is a fully distributed team of over 160 Xapiens working remotely from 50+ countries, focused on economic freedom and wealth protection. We work hard, think globally, and inspire each other to learn and grow, committed to changing the way things are done.
Provide market intelligence on bolt-on targets, competitive landscape, and valuation context within your subsector.
Make introductions to founders, family owners, and senior executives in your existing network.
Review confidential information memoranda and provide operational due diligence input on target companies.
Fireclay Partners is a veteran-owned middle market M&A and buy-side advisory firm based in Kansas City. We serve private equity sponsors and family-owned businesses with a model that pairs investment banking execution with senior operating expertise.
Design the legal architecture behind products and regulated infrastructure for fintech and digital assets.
Lead corporate governance, commercial contracting, and legal operations while managing outside counsel.
Provide legal support for token structures, financial agreements, and regulatory compliance to enable innovation.
Index Industries is a venture-backed startup building financial infrastructure for real estate investing, aiming to open the largest asset classes to global investors. The company is in stealth and launching in 2026, with a culture that values builder energy and ownership.
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.
Own the product portfolio for derivatives, focusing on listed futures and prediction markets.
Define and execute product strategy, balancing regulatory requirements, customer needs, and technical feasibility.
Collaborate with engineering, operations, risk, and external stakeholders to translate market needs into product improvements.
This company operates a regulated derivatives business building infrastructure for futures and prediction markets. It emphasizes a fast-paced, collaborative environment with cross-functional teams across engineering, operations, risk, and compliance.
Performs operational activities related to banking services, ACH transactions, checks, and wire transfers.
Identifies and assesses operational risks, develops corrective action plans, and ensures compliance with regulatory requirements.
Collaborates with Management in the development and implementation of strategic initiatives, policies, procedures, and key performance indicators.
Pathward is a financial empowerment company that works with innovators to increase financial availability, choice, and opportunity for all. They celebrate diverse perspectives and foster a culture of HUMBLE, HUNGRY, SMART.
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.
Navigate complex regulatory frameworks to design and launch innovative financial products and services.
Lead legal reviews of product design, marketing, and customer onboarding to ensure compliance while enabling business growth.
Manage litigation, arbitration, and other disputes, including coordinating with outside counsel and advising on risk and resolution.
Alpaca is a US-headquartered global leader in agent-first brokerage infrastructure for stocks, ETFs, options, crypto, fixed income, and more. With over 400 globally distributed team members and backed by $400 million in funding, Alpaca fosters a diverse and collaborative culture centered on curiosity, empathy, and accountability.
Process new account openings and maintain client accounts with major custodians like Charles Schwab, Fidelity, and Raymond James.
Handle money movements, documentation review, and communication with advisors and internal teams.
Work with investment performance reporting platforms such as Black Diamond and Orion.
The client is an established outsourcing company providing operational support to Registered Investment Advisors (RIAs) and financial planning firms across the US. They work behind the scenes to deliver high-quality, efficient back-office services that allow advisors to focus on their clients.
Develop and execute the go-to-market strategy for fintech solutions, driving customer adoption and enterprise change management.
Lead product marketing, brand strategy, customer lifecycle marketing, and demand generation to accelerate growth.
Build and lead a high-performing marketing and change management organization, partnering cross-functionally for successful launches.
RealPage provides property management software and fintech solutions for residential and commercial properties. The company is a large enterprise with a focus on innovation and customer adoption, fostering a collaborative culture.
This role drives the success of financial planning by maintaining unified processes and training teams.
Leads a team of planners, overseeing day-to-day activities, training, and development.
Creates visibility for the firm through thought leadership and collateral on financial planning.
Mercer Advisors helps families amplify and simplify their financial lives by integrating financial planning, investment management, tax, estate, insurance, and more. They serve over 42,800+ families across 110+ cities, are ranked #1 RIA firm by Barron's, and have a culture where more than half of employees and client-facing professionals are women.
Process and support day-to-day accounts workflow including onboarding, maintenance, updates, and closures.
Fully own escheatment and abandoned property operations and monthly statement review.
Execute legacy cleanup and data hygiene projects to meet compliance requirements.
Alpaca is a US-headquartered global leader in agent-first brokerage infrastructure for stocks, ETFs, options, crypto, and more. With a team of over 400 globally distributed members, we foster a diverse and dynamic culture committed to open-source contributions and innovation.