Gen II Fund Services: Global fund administration for private capital asset managers.
Perform AML/KYC, FATCA, and CRS administrative reviews and document collection; maintain compliance logs and databases; liaise with internal teams and external parties; ensure documentation currency and completeness.
Allspring Global Investments: Provides global asset management and investment advisory services.
5+ YOE5-10 years asset management compliance experience, active FINRA Series 7/24/63, BS/BA, strong knowledge of Investment Company Act and Advisers Act, SEC Marketing Rule, excellent communication and analytical skills.
Analysis Group: Provides economic, financial, and strategy consulting to businesses and governments.
2+ YOEBachelor's degree and minimum 2 years relevant experience; paralegal certificate preferred. Strong written/oral communication, attention to detail, MS Office (Excel, Teams, SharePoint) proficiency, ability to handle confidential information, US work authorization required.
Microsoft Office, Microsoft Excel, Microsoft Teams, Microsoft SharePoint
Northern Bank: A community bank providing commercial and personal banking services.
2+ YOEBachelor's degree required; 2+ years AML/CFT compliance experience; CAMS or CFE desired; proficiency with AML transaction monitoring software and Microsoft Office; strong analytical and organizational skills.
AML transaction monitoring software, Microsoft Word, Microsoft Excel, Microsoft PowerPoint
RIHousing: Provides mortgage lending and rental assistance in Rhode Island.
3+ YOEBachelor's in finance/business or equivalent experience, minimum 3 years in loan servicing/compliance/risk, strong CFPB and credit reporting knowledge, E‑Oscar experience preferred, excellent analytical and communication skills.
Blue Cross Blue Shield of Massachusetts: Provides health and dental insurance plans and managed care.
3+ YOE3+ years industry experience in health insurance/managed care, 2+ years Medicare/Part D or compliance experience preferred; strong auditing, regulatory analysis, reporting, and communication skills; bachelor’s degree preferred.
Microsoft Word, Microsoft Excel, Microsoft PowerPoint, Microsoft Outlook
Gen II Fund Services: Provides fund administration services to private capital asset managers
Perform AML/KYC, FATCA, and CRS document collection, review, centralization, and tracking; maintain client/investor database and liaise with internal and external parties.
ManulifeTSX: MFC: Provides insurance, wealth management, and investment services globally.
4+ YOEBachelor's in finance/business, 4+ years financial services experience, knowledge of Form 5500 and defined contribution compliance testing, ability to prioritize and apply technical rules accurately.
3+ YOEBachelor's degree in a relevant field, 3+ years in marketing compliance/regulatory within medical device or life sciences, working knowledge of FDA (21 CFR 801, 820) and FTC advertising standards, strong analytical and communication skills.
New York City or San Francisco or Salt Lake City or Phoenix or Los Angeles or Chicago or Boston or Austin or Miami or Tampa or Atlanta or Columbus or Boise or San Diego or Minneapolis or Houston or Raleigh or Nashville or Kansas City or Charlotte or Portland or Philadelphia or Dallas or Washington D.C. or Seattle
$140k-$185k/yrRemoteFull Time
CircleNYSE: CRCL: Digital currency issuer and blockchain financial infrastructure provider.
7+ YOE7+ years in compliance or risk management in fintech/payments; 3+ years in product compliance; strong knowledge of US/global payments regulations; experience with virtual assets and cross-functional teams; ability to lead risk assessments and embed compliance in product lifecycle.
Denver or Boston or Kansas City or Edina or Dublin
$45k-$105k/yrHybridFull Time
SS&C TechnologiesNasdaq: SSNC: Provides software and technology for financial and healthcare sectors.
Bachelor’s degree; Series 7 and Series 24 required; experience with broker-dealer compliance and advertising review; knowledge of SEC/FINRA regulations; strong communication and reporting skills.
Wellington Management: Investment management and research services for global institutional clients.
5+ YOE5+ years in investment adviser or funds compliance; BA in finance/economics; experience reviewing 40-act funds; FINRA SIE, Series 7, Series 24; strong written and verbal communication.
Wellington Management: Manages investment portfolios and provides financial research for institutions.
5+ YOE5+ years in investment adviser or fund compliance; Series 7 and Series 24; FINRA/SIE; 40 Act fund experience; Bachelor’s in finance/business/economics/marketing; strong regulatory knowledge.
FINRA, Data Analysis Tools, Regulatory Compliance Software
Franklin TempletonNYSE: BEN: Global investment firm providing asset and wealth management services.
7+ YOEBachelor's degree preferred,7 years financial services or marketing compliance experience,knowledge of SEC Marketing Rule and FINRA,Series 7 or 24 (or obtain within 6 months),Microsoft Office and compliance tool experience,strong writing and analytical skills.
Microsoft Office, Norm AI, Red Oak, Greenboard, RegEd, Saifr, Zeidler
WHOOP: Providing wearable health trackers and physiological performance analytics.
6+ YOE6+ years in GRC with experience assessing AI/ML risks, third-party/vendor risk management, policy development, audit support, and mapping controls to industry frameworks; bachelor’s degree preferred.
ISO/IEC 42001, NIST Cybersecurity Framework, NIST AI Risk Management Framework, EU AI Act, GDPR, PCI DSS
QuanterixNASDAQ: QTRX: Developing digital immunoassay technology for ultra-sensitive protein detection.
5+ YOE5+ years IT compliance/risk, SOX/NIST/ISO knowledge; bachelor’s in IS/cybersecurity/accounting or related; strong documentation and audit support skills.
WHOOP: Wearable technology for personalized health and performance tracking.
6+ YOE6+ years in GRC with AI/ML risk assessment, third-party risk management, policy development, audit coordination, and mapping controls to standards; bachelor’s degree in related field.
ISO/IEC 42001, NIST Cybersecurity Framework, NIST AI Risk Management Framework, EU AI Act, GDPR, PCI DSS, LLM
State StreetNYSE: STT: Provides investment servicing and management to institutional investors.
2+ YOEExperience in operational risk, controls, audit, or compliance; familiarity with issue management and audit coordination; strong written/verbal communication and attention to detail; Bachelor's degree or 2-5 years equivalent experience.