Deliver regulatory oversight to appointed representative firms and registered Individuals and ensure Treating Customers Fairly principles are embedded.
Review AR bespoke characteristics and behaviors identified by risk assessment as requiring supervision, building strong relationships with AR Principals.
Identify areas of concern in a firm’s current processes, set action plans and agree timescales for these to be rectified.
Support the design, maintenance, and execution of the UK compliance monitoring programme covering regulatory obligations.
Conduct risk-based compliance monitoring reviews and thematic testing to assess the effectiveness of regulatory controls.
Prepare monitoring reports and document monitoring findings, identify control weaknesses, and support the tracking of issues.
Kraken is a mission-focused company rooted in crypto values that aims to accelerate the global adoption of crypto, so that everyone can achieve financial freedom and inclusion. As a fully remote company, they have Krakenites in 70+ countries who speak over 50 languages.
Handling regulatory and compliance issues in conformity with Mercer Advisors’ practices and requirements.
Conduct daily review of marketing materials of recently acquired businesses for compliance.
Proactively work with the business to ensure acquired businesses are integrated successfully to Mercer Advisors.
Mercer Advisors helps families amplify and simplify their financial lives by integrating financial planning, investment management, tax, estate, and insurance. 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.
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.
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.
Design, implement, and maintain the firm’s written compliance policies and procedures.
Conduct an annual review of the adequacy of the firm’s compliance policies and procedures.
Identify and assess regulatory risks across all business activities.
Kraken builds the future of crypto with a world-class team united by the desire to unlock the potential of crypto and blockchain technology. It is a fully remote company with Krakenites in 70+ countries and is committed to industry-leading security and crypto education.
Research current and upcoming regulations or changes to the regulations.
Communicate clearly with owners and managers concerning regulations.
Educate and consult with clients through calls, interactions, and meetings.
KPA, founded in 1986, provides Workforce Compliance software and consulting services, helping clients prevent workplace safety and compliance problems. With headquarters in Colorado and teammates throughout the United States, KPA is known for its commitment to Integrity, Helpfulness and Teamwork.
Being the first point of contact for compliance advice for Retail and Business customer propositions.
Providing clear and proactive compliance advice to the Borrowing squad, especially on CONC and Consumer Duty.
Reviewing customer journeys and communications to help the business deliver good customer outcomes, and flagging any risks.
Monzo is a financial technology company aiming to make money work for everyone, moving away from the traditional banking complexities. They offer personal and business bank accounts, savings, investments, and pension options, focusing on customer service and financial education.
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.
Working proactively with Product teams to provide compliance advice.
Providing compliance advice and guidance on financial promotions.
Building relationships with Compliance team members and first line colleagues.
Monzo is on a mission to make money work for everyone and waving goodbye to the complicated and confusing ways of traditional banking. They offer personal and business bank accounts, joint accounts, accounts for 16-17 year olds, a free kids account and credit cards in the UK.
Serve as the primary day-to-day point of contact for the client.
Conduct regulatory gap assessments by comparing applicable federal and state insurance requirements to the client’s documented policies.
Analyze and interpret complex regulatory language across multiple jurisdictions and translate it into clear, actionable compliance obligations and requirements.
Sia Partners is a management consulting firm composed of consultants who drive business changes among their customers. Through unparalleled industry expertise, they deliver superior value and tangible results to their clients.
Regularly consults with assigned clients to maintain a positive relationship.
Proactively uncovers ways to improve the daily operations of the plan.
Resolves moderately complex or specialized client issues; conducts research and reporting to resolve these issues.
T. Rowe Price is a premier global asset management organization with more than 85 years of experience. They provide investment solutions and a broad range of equity, fixed income, and multi-asset capabilities to individuals, advisors, institutions, and retirement plan sponsors. Their culture is collaborative and they value differences and colleagues who share a spirit of generosity.
Support the execution of risk-based compliance monitoring, including data collection, control testing, and evidence gathering.
Assist with the annual policy review cycle: gap analysis, benchmarking, drafting revisions, and maintaining the compliance policy register.
Assist in preparing periodic compliance reports and KPI/KRI data for the Management Board, Supervisory Board, and Audit & Risk Committee.
Finom is a European tech startup headquartered in Amsterdam that aims to revolutionize financial landscape for entrepreneurs worldwide. They are developing an all-in-one financial B2B solution that integrates banking functions, accounting, financial management, and invoicing into a seamless, mobile-first platform.
Serve as the Primary Compliance Officer for Alpaca Singapore.
Oversee the end-to-end AML/CFT program.
Develop and maintain compliance policies, procedures, and internal controls.
Alpaca is a US-headquartered self-clearing broker-dealer and brokerage infrastructure for stocks, ETFs, options, crypto, fixed income, 24/5 trading, and more. Our global team of 230+ members is a diverse group of experienced engineers, traders, and brokerage professionals.
Support the Company’s Compliance Management System (CMS), including risk assessments and governance processes.
Implement compliance monitoring and testing across business lines and document findings.
Support the drafting and maintenance of compliance policies, ensuring they align with regulatory expectations.
NerdWallet aims to bring clarity to all of life’s financial decisions with a team of exceptional Nerds. They've built an inclusive and flexible culture where employees are empowered to grow and take smart risks.
Design, manage, and execute the Compliance Assurance Plan.
Drive the evolution of our Compliance Independent Testing Team (CITT) through automation, data-driven monitoring, and modern control-testing practices.
Lead and develop a high‑performing team of Compliance Testers across United States and Costa Rica, responsible for conducting independent reviews, control testing, validation, and monitoring activities.
Experian is a global data and technology company, powering opportunities for people and businesses around the world. A FTSE 100 Index company listed on the London Stock Exchange (EXPN), they have a team of 23,300 people across 32 countries and corporate headquarters are in Dublin, Ireland.
Prepare Board/Management Committee packages and division reports.
Conduct due diligence and research using WorldCheck, LexisNexis, and internet sources.
Analyze AML alerts and perform customer research using internal and external sources.
iCIMS is a recruiting software company that empowers organizations to attract, engage, hire, and advance the right talent. They offer a cloud-based platform and have a large customer base.
Lead end-to-end investigations into compliance and ethics.
Translate complex regulations into practical guidance.
Identify systemic risks and ensure robust remediation.
Rula is dedicated to treating the whole person and aims to create a world where mental health is embraced as an integral part of one's overall well-being. They are a remote-first company that is dedicated to having a culture of inclusion that will support their employees.
Conduct compliance risk assessments for products and operational changes.
Translate regulatory expectations into practical controls.
Design and implement scalable compliance controls.
EarnIn builds products that deliver real-time financial flexibility for those with the unique needs of living paycheck to paycheck. They are a fast-growing company with experienced leadership and world-class funding partners, aiming to bring world-class talent onboard.
Understands customer needs and provides wealth and investment-related sales and service to BMO customers or prospects.
Advises customers on wealth and investment strategies and products that meet customer’s objectives.
Fulfills sales and service activities for the customer in accordance with approved procedures.
BMO Financial Group is a leading bank driven by a single purpose: to Boldly Grow the Good in business and life. As the 8th largest bank in North America by assets, they provide personal and commercial banking, wealth management and investment services to more than 12 million customers.
Responsible for planning and executing quality and oversight activities to ensure operational compliance.
Responsible for internal and external case audits for Capital and our delegated UM vendors.
Responsible for educating staff on findings, and the audit tool ensuring a consistent approach.
Capital Blue Cross promises to go the extra mile for our team and our community. This promise is at the heart of our culture, and it’s why our employees consistently vote us one of the “Best Places to Work in PA.”