Provide compliance advisory support on consumer finance and payments requirements, documenting guidance and decisions.
Conduct second-line oversight reviews of complaint handling and contribute to trend and root-cause analysis.
Support issue management, change management, and product compliance assessments, preparing governance-ready documentation.
Sezzle is a fintech company that provides interest-free installment payment solutions, revolutionizing the shopping experience with cutting-edge technology. With a focus on innovation and financial empowerment, Sezzle fosters a dynamic, high-standards culture with a team of brilliant, determined individuals.
Design and execute the annual compliance testing program for the broker-dealer and RIA, including FINRA 3110 and SEC 206(4)-7.
Act as a key contact during regulatory examinations, managing data requests and supporting internal investigations.
Maintain policies and procedures inventory, including Written Supervisory Procedures, and assist with regulatory filings.
Mercury is a fintech company building banking and financial infrastructure for startups, offering services through partner banks. The company values compliance as a foundation for trust and growth, fostering a collaborative and diverse work environment.
Build and own the entity's FCRA compliance program from scratch, including policies and training.
Run consumer relations end-to-end: dispute intake, reinvestigation, file disclosure, and fraud alerts.
Serve as compliance point of contact for client diligence and regulatory matters.
SentiLink provides innovative identity and risk solutions for financial services and other markets. It is a fast-growing company backed by top investors and has earned recognition from major media outlets.
Perform supervisory reviews and approvals of client accounts and transactions requiring oversight.
Research and resolve complex account, suitability, and regulatory matters.
Monitor supervisory systems to identify unusual activity and potential risks.
Raymond James is a diversified financial services firm providing wealth management, capital markets, and banking. Founded in 1962, it has a people-first culture and operates across the US, Canada, UK, and Germany.
Own and maintain AML/BSA, Sanctions, and KYC/KYB policies across all markets, ensuring compliance with local regulations and partner requirements.
Serve as primary compliance point of contact for issuing bank and card network partners, managing audits, exams, and remediation.
Build and run governance structure for the compliance program, including reporting, escalation paths, and risk committees.
Motive empowers the people who run physical operations with tools to make their work safer, more productive, and more profitable. Motive serves nearly 100,000 customers across a wide range of industries, from Fortune 500 enterprises to small businesses.
Oversee compliance with California Rules of Professional Conduct and IOLTA trust account management.
Develop and maintain firm-wide compliance policies, training materials, and internal audit procedures.
Monitor conflicts-of-interest, data privacy, and regulatory changes to mitigate risk.
Abramson Labor Group is a leading employment and workers' compensation law firm dedicated to advocating for employees' rights. We foster a dynamic and collaborative work environment where professionals can grow while making a meaningful impact.