Conduct compliance reviews, mock SEC/FINRA examinations, and branch office assessments for investment advisers and broker-dealers.
Manage client engagements from planning and testing through reporting and remediation, translating complex regulatory requirements into risk-rated findings.
Mentor junior consultants, contribute to industry education, and guide clients in using compliance technology solutions.
This company provides compliance consulting services to financial services firms, helping investment advisers and broker-dealers strengthen regulatory frameworks and maintain audit readiness. It fosters a collaborative, technology-driven culture with opportunities for professional development, mentorship, and industry thought leadership.
Oversee ESI Suitability Review so new accounts and daily transactions meet regulatory and company requirements.
Build partnerships with Distribution, Compliance, Legal, and Technology to manage risk and drive results.
Develop leaders, foster continuous improvement, and serve as escalation point for complex suitability issues.
National Life Group is a Fortune 1000 insurance company providing life insurance and annuities that help families plan stable futures. It fosters a collaborative, growth-oriented culture and encourages associates to live its values: Do good. Be good. Make good.
Lead advanced compliance activities for healthcare administrative products including HSAs, FSAs, HRAs, and COBRA.
Apply expert regulatory judgment to risk assessments, compliance monitoring, investigations, and corrective actions.
Collaborate with stakeholders to integrate compliance requirements into strategic initiatives and leverage AI-powered tools.
HealthEquity empowers healthcare consumers by providing administrative solutions like HSAs, HRAs, FSAs, and COBRA. The company is a large, mission-driven organization that values inclusion and connects health and wealth for American families.
Own the end-to-end operational lifecycle for Atomic Brokerage, including clearance and settlement, corporate actions, account onboarding, and daily reconciliations.
Serve as designated supervisory principal for operations, writing and defending supervisory procedures in FINRA and SEC exams.
Partner with engineering, FinOp, compliance, and legal teams to strengthen controls, automation, and regulatory reporting as we scale self-clearing infrastructure.
We build critical financial infrastructure that allows consumer-facing companies to offer engaging investing experiences, from ESG investing to treasury bills and equities. We have raised $55M and are a fast-growing, mission-driven team of financial empowerment enthusiasts from tech, banking, finance, and law.
Assist with e-communication surveillance, compliance checklists, and policy maintenance.
Support due diligence questionnaires, risk assessments, and regulatory examinations.
Help govern committees and prepare materials for internal audits and regulatory inquiries.
Ondo Finance provides institutional-grade blockchain-enabled investment products and services, including tokenized funds and decentralized finance technology. The well-funded, fully remote company is backed by top investors and led by a team of industry veterans.