Conduct quality review of client KYC records and act as subject matter expert on legal documents.
Perform investigations on client transactions using internal systems to identify suspicious activity.
Manage risk by analyzing root causes and advising stakeholders on next steps like relationship retention or termination.
EXANTE is a pioneering wealth tech company offering centralized trading solutions and B2B financial infrastructure. With over 700 employees from 70+ nationalities across 70 locations, we prioritize investing in our people and fostering an informal, collaborative culture.
Collaborate on risk assessments and develop internal surveillance systems to ensure compliance with securities laws.
Conduct regular audits, identify control deficiencies, and prepare action plan remediation.
Prepare and conduct virtual and physical branch office exams while staying current on regulatory trends.
Mercer Advisors helps families amplify and simplify their financial lives by integrating financial planning, investment management, tax, estate, and more. Serving over 31,300 families across 90+ U.S. cities, they've been ranked #1 RIA firm by Barron's and have a diverse, flexible workforce.
Lead a team of Product Compliance and Payroll Strategy specialists to define and drive global payroll compliance strategy.
Translate complex employment, tax, and payroll regulations into scalable product requirements and governance frameworks.
Partner cross-functionally with Product, Engineering, Legal, and Operations to embed compliance-by-design across all systems.
Jobgether is a platform that uses AI-powered matching to connect job seekers with hiring companies. They operate with a fully remote, globally distributed team and focus on efficient, objective candidate evaluation.