Assist investment advisers and other financial services firm customers with regulatory obligations.
Process applications for new representatives of investment adviser and broker-dealer firms, including Form U4.
Coordinate with state and SEC regulators to secure registration for customer firms.
Comply is a leading provider of compliance SaaS and consulting services for the global financial services sector. They empower Chief Compliance Officers and their teams to proactively manage regulatory obligations, mitigate risk, and scale with efficiency and confidence, serving thousands of global financial services clients.
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.
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.
Serve as a subject matter expert across member support channels.
Help members understand Public's products and features.
Partner with Legal, Compliance, and Operations to resolve complex member issues.
Public is a long-term investing platform where investors use AI and a vast variety of asset classes, from stocks and bonds to crypto and options, to build portfolios. Headquartered in New York City, Public has raised over $400M and is trusted with billions in assets.
Respond to client requests with timeliness and accuracy.
Assist Advisors with client meeting prep and follow-up tasks.
Process account opening applications and transfer paperwork.
Alta Wealth Partners is a growing wealth management firm located in White Plains, NY. They have created a culture of success and a team that is dedicated to its clients.
Review proposed changes/new products to identify compliance risks.
Monitor corrective actions and escalate when appropriate.
Analyze regulations and assist with the development of compliant processes.
EarnIn pioneers earned wage access, building products that deliver real-time financial flexibility. They are a fast-growing company with experienced leadership, world-class funding partners, and a healthy core business.
Lead and maintain accuracy in key reporting, including monthly and annual financial statements, tax compliance, and treasury management across multiple asset classes and geographies
Serve as a primary point of contact for service providers, ensuring policies and internal control standards are followed
Drive process improvement and automation initiatives across the fund accounting function
Voleon is a technology company that applies state-of-the-art AI and machine learning techniques to real-world problems in finance. They have become a multibillion-dollar asset manager, and they have ambitious goals for the future. Your colleagues will include internationally recognized experts and experienced finance and technology professionals, from diverse backgrounds. You will be part of a team that loves to succeed together.
Maintain regulatory compliance and prevent losses to members and credit union.
Perform primary telephone support and assist members and employees through all support channels.
Solve practical problems and deal with a variety of situations exercising flexibility and sound judgment.
STCU is a top-performing credit union that emphasizes serving others and lifelong learning. They value employees who are committed, fun-loving, and want to make a difference in members’ lives, with core values including joyfulness, generosity, and belonging.
Provide world-class customer service through performing complex Member Services functions.
Maintain compliance with Federal and State regulations, NACHA rules, and Webster/HSA Bank policies.
Meet/exceed individual performance goals, service level objectives, and demonstrate operational excellence.
Webster Financial Corporation is committed to putting people first, by helping individuals, families, and businesses achieve their financial goals. As a commercial bank founded in 1935, they value integrity, collaboration, accountability, agility, respect, and excellence.