This person will provide assistance on a variety of compliance and regulatory matters for financial services firm customers, and will assist investment advisers and other financial services firm customers with regulatory obligations. This role involves filing amendments for Form ADV, processing applications for new representatives, coordinating with regulators, and submitting SEC EDGAR filings.

The Compliance Coordinator plays a critical role in ensuring that our non-profit organization adheres to legal and regulatory requirements. By developing and implementing effective compliance programs, the coordinator helps maintain the organization’s integrity, transparency, and ethical standards. The coordinator will conduct regular compliance audits, assess adherence to laws, and report compliance violations.

Assist in designing, implementing, and enhancing enterprise-wide CMT Program methodologies and governance documents. Participate in developing a risk-based annual CMT plan in collaboration with Compliance staff. Contribute to the creation of periodic reporting for the annual CMT plan progress, results, and status of remediation plans. Perform and manage assigned CMT activities in the life cycle of planning, execution, reporting, and issue remediation.

No prior experience required! We offer comprehensive on-the-job training to help you develop your skills in financial crime compliance. As an Entry-level AML Investigator, you'll analyze financial transactions, identify suspicious activity, and ensure compliance with regulatory policies, including KYC.

This is an exciting opportunity to join Remote as a Payroll Risk and Compliance Expert for the Eastern Europe Region. You can make a meaningful impact in the global employment space as part of our Payroll Risk and Compliance team. We are looking for a candidate with experience in regional or global payroll operations, including in-depth knowledge of wage tax laws and social security regulations in at least one country.

As a Senior Regulatory Compliance Manager, you'll be a key partner in managing regulatory obligations, particularly as they relate to U.S. bank partners and state/federal regulators, helping ensure Wise remains compliant as it scales.

Seeking a detail-oriented and experienced Compliance Analyst to focus on mitigating consumer protection compliance risks and driving adherence to regulatory expectations. You will apply a data-driven approach to assess and improve business processes, compliance controls, and risk management strategies across deposits, payments, and lending, in a dynamic, fast-paced environment.

The role of Compliance Associate is a fully remote position within LemFi’s Compliance team responsible for overseeing the day to day leading of the Transaction Monitoring team, under the guidance of the Financial Crime Team Lead and Financial Crime Manager. Responsibilities include risk-based AML/CFT/sanctions compliance knowledge when approving customer requests and actioning alerts, conducting fraud and AML case investigations, and providing AML compliance and operational guidance to Analysts.

The Trust & Safety (T&S) Lead protects our customers, employees, and the community from abuse of Flock’s solutions and helps to create a safe platform experience. This role is on the Information Security and Risk team which works cross-functionally with our Product, Engineering, Policy, and Legal teams to keep users safe on our platform. This will be an individual contributor role.

Support and assist IQEQ’s investment adviser client by providing regulatory compliance services through oversight of the execution and continuous improvement of the client’s compliance program, which meet the requirements of SEC Rules 206(4)-7 and 38a-1, including other state and federal securities laws and regulations. Update the client’s compliance programs as necessary to keep them current with new regulatory requirements and best business practices.