• Coordinate corporate governance activities to include scheduling committee meetings, preparing meeting materials including the collection of data from committee members, and tracking action items
• Execution of the annual Compliance Risk Assessment. 
• Coordinate execution with Internal Audit and Risk and ensure that CRA results capture Internal Audit and Risk items
• Coordinate responses to regulatory inquiries, requests, and examinations including outreach to affiliates for data
• Perform tasks to ensure firm compliance with its Written Supervisory Procedures. 
• Support the CCO in all authorized participant activities with Grayscale Investments to include new investor due diligence reviews, performance of enhanced due diligence, review of advertising and marketing materials, auditing/sampling files, regulatory research, and policy and procedure updates
• Update compliance policies and procedures 
• Manage the employee personal trading certification process by processing personal trading requests, updating policies as necessary, maintaining the certification database, ensuring timely submission, and escalating delinquencies to the CCO
• Manage the Disclosure of Personal Accounts/Accounts at other Broker-Dealers process by ensuring timely and complete disclosure by all employees, contractors, and consultants
• Process new submissions, updates, and changes to employees’ FINRA Form U-4. Draft and transmit U5 letters for offboarded employees

Skills: Corporate Governance Coordination, Compliance Risk Assessment, Regulatory Liaison, Written Supervisory Compliance, Due Diligence Management, Compliance Policy Updating, Trading Certification Management, FINRA Compliance Handling.

• Coordinate the capture and submission of employee fingerprints to FINRA for processing
• Conduct the annual firm training curriculum by assigning new training, tracking completion, and escalating serious delinquencies to the CCO. Work closely with the CCO to develop curriculum materials, and host training sessions
• Perform periodic sampling/testing of AML/KYC files of affiliates and partners
• Support the CCO in the Annual CEO Certification process
• Perform compliance monitoring and surveillance activities
• Provide administrative support to the CCO and AML officer including scheduling internal and external meetings, vendor management, AML/KYC/EDD activities, and other special projects
• Be the point of call for all product, sales and business operations teams for Irish compliance matters
• Work closely with based Compliance & Risk Team to build a robust and consistent compliance culture in terms of processes and policies
• Help maintain compliance monitoring program for appointed PSD Agents
• Work with the Irish Compliance Lead to file regulatory reporting to the CBI

Skills: Fingerprint Submission Coordination, Training Program Management, AML/KYC Testing, Compliance Monitoring, Administrative Support, Stakeholder Communication, Compliance Culture Development, Regulatory Reporting

• Responsible for activities involving quality assurance and compliance with applicable regulatory requirements
• Conducts health audits and reviews/analyzes data and documentation on program participants (child/family).
• Utilize the Child Plus database to document, track, and compile monthly reports on services related to the following component areas: health and nutrition.
• Audit child/family files and prepare monthly reports related to issues of noncompliance, submit to the Assistant Director for review and follow-up.
• Conduct quarterly monitoring audits to ensure compliance with 'Safe Environment' standards.
• Read, train and implement the agency disaster procedures and emergency response procedures in compliance with DHS regulations, OECP guidelines and HHS performance standards and conduct disaster drills for the site.
• Attend and participate in child/family FCR (family/child review) review meetings.
• Attend all in-service as directed, assist with in-services for parents on safety, health practices & first-aid, and assist with in-services for staff regarding health education and classroom emergencies.
• Ensure that all program participants have a medical/dental home with an active, up to date Child Health Plan that follows the states EPSDT guidelines.
• Serve as initial contact person at the school level for families with health documentation questions. 

Skills: Regulatory Compliance, Health Audits, Data Analysis, Reporting, Audit Compliance Monitoring, Emergency Procedures Implementation, Health Education Support, Medical/Dental Coordination.

• Track, monitor and enter all health program participant data (initial and ongoing) into the Child Plus database.
• Maintain accurate and current information (screening results, treatments, immunization info), enter all related data into the Child Plus Database and record all related data in the child’s program file.
• Monitor requirements for health, nutrition and safe environments and provide written reports to the School Director and/or Assistant Director per guidelines.
• Submit a health screening results report to parents, file and track report in participant files and in Child Plus.
• In collaboration with the Family Advocates, update individual plans in C+ as events occur and issues arise to ensure health outcomes while maintaining record confidentiality.
• Document that informed parent/guardian consent has occurred for all children prior to the administration of screenings & assessments; this includes services performed by outside contractors or collaborative partners.
• Generate, provide and present school and program reports to Assistant Directors (weekly or monthly), per Assistant Director’s request.
• Encourage parent/guardian participation in meeting health standards. Identify cultural/religious preferences and assist in meeting these individual needs. Notify parent/guardian of upcoming screening events and educational opportunities.
• Obtain parent/guardian consent to acquire health/medical information and to release health/medical information if required to meet state or federal regulations.
• Serve as a liaison on the Health Advisory Committee.

Skills: Data Entry, Database Management, Health Monitoring, Report Generation, Collaborative Planning, Consent Documentation, Parental Engagement, Advisory Committee Liaison

• Contact agencies, clinics and health care providers to obtain pertinent health/dental information, enter data into ChildPlus and file in child’s health record.
• Collaborate with the Family Advocate to ensure that established medical and dental homes are utilized and maintained by program participants, includes: notification of pending or past due health requirements, assisting the parent/guardian with
• SoonerCare enrollment, assessing community resources that best meet the family’s needs and providing families with community resource information.
• Obtain and maintain first aid and CPR certifications.
• Provide families with appropriate information related to Oklahoma’s EPSDT guidelines.
• Coordinate sensory screenings for all children identified as needing this requirement and perform necessary sensory screening for vision and hearing
• Work with the Irish Compliance Lead to manage regulatory complaints from Irish customers
• Conduct Compliance and AML training for Irish colleagues.
• Work in collaboration with the Family Advocate regarding assistance in getting pending and/or past due health requirements from parents.
• Communicate and respond to questions and inquiries from branch personnel and other internal Departments regarding customer complaints.

Skills: Data Management, Family Advocacy Collaboration, Health Compliance, CPR/First Aid Certification, Sensory Screening Coordination, Regulatory Compliance Management, Compliance Training, Internal Communication

• Assist in handling, coding and correctly inputting customer complaints received on bank products.
• Providing technical advice and solutions on FCA rules to regulated firms and appointed representatives including on regulatory perimeter issues
• Advice on preparing and submitting FCA applications for authorisation or variation of permission, also approved persons and appointed representatives, and change in control
• Advising on new regulatory developments and support on implementation
• Technical and/or administrative support on project work, including periodic reviews/updates of manuals, financial promotions, compliance policies, training material and regulatory circulars
• On occasion, conducting compliance monitoring visits/systems and controls healthchecks and training
• Post induction, being responsible for my own portfolio of clients
• Identifying new business development opportunities for compliance related support.
• Improving the merchants’ performance in various operational issue
• Ensuring that the target and Key Performance Indicator (KPI) are met based on daily, weekly, or monthly target

Skills: Complaint Handling, FCA Guidance, FCA Application Support, Regulatory Updates, Compliance Project Support, Compliance Audits, Client Management, Business Development 

• Handling different types of merchants in various situation
• Understand the different business processes within the Internal Department
• Build and maintain long-term sustainable relationships with merchants, taking feedback and sharing ideas in improving the operations
• Assisting in the development, implementation and administration of local healthcare compliance programs, policies, standard operating procedures, tools, systems, job aids and trainings
• Tracking compliance assurance metrics
• Gathering documentation and assisting with identifying potential areas of improvement opportunity and risk. 
• Providing feedback, tracking and participating in improvement actions
• Supporting staff to accomplish healthcare compliance initiatives and goals and be an advocate for compliance within the business.
• Oversee triage and resolution of C3 system support tickets to determine nature of request and identify/assign the appropriate individual for resolution
• Support the MLRO to implement the firm's anti-financial crime framework, which may include assisting the oversight of third party vendors, processing KYC, ABC, and sanctions checks, responding to KYC requests

Skills: Relationship Management, Business Process Understanding, Healthcare Compliance, Compliance Metrics Tracking, Documentation Management, Continuous Improvement, System Oversight, Anti-Financial Crime Compliance

• Assist in the implementation of the global compliance programme, which may include communication monitoring, personal trade review, code of ethics monitoring, ESG, marketing material review
• Work with the broader compliance team on ad hoc compliance related projects 
• Working closely with the EMEA Financial Crime Lead to enhance the financial crime risk management framework, in relation to managing the risks of money laundering sanctions, fraud and bribery and corruption
• Coordinate with the Financial Crime colleagues as necessary on the risk framework priorities
• Support relevant audits, regulatory visits and examinations for financial crime generally
• As required provide advice to PEPs and other heightened risk factors encountered during onboarding
• Ensure the active identification, response and/or escalation of risks 
• Provide guidance to employees and escalate situations
• Participate in and complete the daily trade blotter and other daily surveillance activities
• Identify electronic communications that require further investigation and escalate

Skills: Compliance Program Implementation, Financial Crime Risk Management, Regulatory Compliance, Audit and Examination Support, Risk Identification and Escalation, Enhanced Due Diligence, Daily Trade and Surveillance Monitoring, Communication Analysis and Escalation.

• Work with the Compliance Manager to ensure Apex is compliant with legal and regulatory requirements and best risk/compliance practice.
• Assist with the Compliance Manager with the provision of comprehensive advisory, risk assessment, monitoring and control services. 
• Fulfilling compliance delivery on various applicable local and EU Directive/law such as Criminal Finances, Money Laundering, General Data Protection, Terrorism, Anti-terrorism, Crime & Security, Serious Organised Crime and Police, Financial Services and Markets, Companies House, Bribery Act and Common Reporting Standard (CRS).
• Assist with the Compliance Manager with the maintenance of various regulatory registers.
• Conduct regular compliance monitoring reviews, analysis and reporting in adherence with the Compliance Monitoring Programme (“CMP”) and report to the Compliance Officer on the findings.
• Assist with the operational oversight of activities in accordance with processes and procedures and contribute to the development of such processes, procedures and internal control environment.
• Assist the Compliance Officer in ensuring that the risk management framework in place to the Apex business remains 
• Help ensure regulatory updates are issued in timely manner in line with requirements
• Support the training on anti-money laundering, sanctions and privacy matters 
• Complete required AML tasks and reporting as required working with local transfer agency and administration teams 
• Ensure that suspicious transaction monitoring and reporting to the relevant local authorities is performed
• Support the Head with enquiries raised by the Regulator in a timely manner
• Support with the production of monthly reporting for entities required to be produced to the Group

Skills: Regulatory Compliance, Risk Assessment, Compliance Monitoring, Regulatory Reporting, Process Improvement, AML Compliance, Regulatory Communication, Compliance Training

• Conduct ongoing compliance activities for mutual fund operations
• Assist with the creation and updates of policy and procedures manual
• Work with the dealer’s Investment Product Committee to fulfil its KYP obligations
• Assist with the review of marketing materials and co-operative marketing requests
• Maintain appropriate paper and electronic records
• Other compliance and/or administrative tasks
• Occasionally travel to branches to conduct reviews, interviews and/or training
• Keep abreast of changes to compliance procedures, firm policies, compliance manuals and rules, regulations and requirements of securities regulatory authorities
• Work to continually improve product and compliance knowledge by completing industry courses, participating in seminars, workshops and conferences, proactively reading internal publications, industry news and media releases, and sharing information and ideas with team members.
• Contribute to the administration of regular Compliance trainings and communications to the firm

Skills: Compliance Monitoring, Policy Development, KYP Compliance, Marketing Material Review, Record Management, Regulatory Updates Tracking, Professional Development, Compliance Training Administration

• Establish a compliance framework, consisting among others of internal rules conform to regulatory requirements and establish effective reporting procedures.
• Communicates and interacts with: (i) the planning and compliance departments and FCC of SMBC in NY and Tokyo, (ii) Mexican law firms and consultants and (iii) local authorities/regulators, to de
• Develop internal controls, rules, manuals and policies/procedures to address all local and SMBC’s compliance requirements.
• Assist Management in ensuring that the internal affairs and business activities of the SOFOM are conducted in a responsible manner to be following regulatory requirements and that proper records and accounts are kept.
• Support and review that new products and transactions meet all regulatory requirements and operate to best practices within the industry.
• Support in the review new laws, rules and other regulatory requirements and preparing policies and training programs for the SOFOM employees on relevant regulatory requirements.
• Conduct Monitoring and Testing activities for AML and Compliance topics
• Perform periodic testing to detect potential regulatory violations and ensure compliance with regulations and Firm policies
• Stay abreast of relevant regulations, industry best practices, and internal policies
• Assist with and responding to regulatory inquiries and examination
• Promote and encourage a culture of compliance and ethics throughout business communicating these values to colleagues

Skills: Compliance Framework Development, Interdepartmental Communication, Policy and Procedure Development, Regulatory Oversight, Product Compliance Review, Regulatory Change Management, Compliance Testing, Ethical Leadership Promotion

• Be responsible for the organization and tracking all phases of the compliance deliverables for each project to ensure on-time completion.
• Provide effective updates to Compliance leadership daily, while coordinating and assisting all Compliance Strategic Initiatives associates’ on deliverables and organization for each of  corresponding projects.
• Work cross-functionally to assist in identifying resources and stakeholders needed to help develop project plans, processes, goals, and budgets.
• Communicate program status, program readiness, business and technical issues, risks, and resolution across Engineering, Legal, Business Operations, Corporate Development, and peer Program Management teams.
• Assembling and coordinating project team members, assigning individual responsibilities, and driving team collaboration spanning multiple geographies.
• Work cross-functionally with key stakeholders across Kraken to develop detailed integration plans and milestones.
• Assist with facilitating the necessary compliance integrations related to all strategic business initiatives, Kraken subsidiaries, as well other compliance program maintenance requirements.
• Assist with developing and implementing methodology to monitor developments in global regulatory frameworks that impact Kraken’s operations worldwide.
• Develop and implement methodology to monitor industry competitive landscape as it relates to global regulatory compliance.
• Assist with building presentations to frame compliance decisions for internal executives.

Skills: Project Management, Cross-functional Coordination, Stakeholder Engagement, Risk Management, Team Leadership, Strategic Planning, Regulatory Monitoring, Presentation Development

• Performing the required regulatory function of DMLRO
• Supporting and advising the business in fulfilling its AML/CFT/PF obligations, as required at both the Vistra Group and local level, in line Islands regulatory requirements
• Assisting the Compliance Manager to maintain accessible and updated local compliance policies that are sufficient to meet local regulatory requirements and Group policies
• Conducting critical reviews of Business Activity Reports from Vistra servicing centres and making recommendations to the business on compliance matters to ensure effective oversight and governance of outsourced business agreements in line with the CIMA Statement of Guidance on Outsourcing
• Maintaining compliance registers as required by CIMA and Group Compliance
• Undertaking periodic compliance monitoring in accordance with the Group Compliance Monitoring Programme and making recommendations for improvements in the manner in which compliance is achieved
• Advising on compliance content and requirements to support the business in the on-boarding of Company Formation clients, while also acting as an escalation resource for complex and high-risk clients (including PEPs)
• Submitting any necessary ad hoc reports and required regular periodic reports to the Compliance Manager and local management
• Deliver or procure periodic training on compliance matters, policies, and ensuring First Line awareness of obligations with laws, regulations and codes are clear and understood.
• Liaison with Compliance Manager in relation to material matters arising from CMP, internal / external audit, regulatory inspections

Skills: Regulatory Compliance, AML/CFT/PF Advisory, Policy Maintenance, Compliance Monitoring, Risk Assessment, Report Preparation, Compliance Training, Stakeholder Liaison

• Compliance monitoring experience would be an advantage.
• Ability to demonstrate a high degree of self-reliance and self-motivation
• Ability to work autonomously and under pressure while maintaining high accuracy and quality standards
• Ability to demonstrate integrity in all tasks and functions performed
• Prior experience with the review, analysis, and coding and reporting of customer complaints is required, in a retail bank.
• Create ad hoc reports using the complaint database as well as running system generated reports on a regular basis.
• High volume, dynamic position that requires detailed work completed in an efficient and timely manner. 
• Well-developed writing and communication skills, the ability to prioritize and work independently, and the ability to manage processes and stakeholders are all key skills for this position.
• Ability to establish and maintain positive relationships and build teams.
• Strong reputation for integ|rity and ethics.

Qualifications: BA in Political Science with 3 years of Experience

• Fluent in English, and B1 proficiency in Turkish 
• Good working knowledge of MS Office
• Strong attention to detail
• Ability to analyse and identify patterns in large data sets
• Good knowledge and experience in internet navigation and research
• MS Excel proficiency, Basic SQL
• Strong knowledge of regulations, FCA & SEC.
• Excellent analytical skills, good IT skills are an additional bonus.
• Excellent communication skills, both written & verbally.
• Previous experience in implementation of risk assessment process, including monitoring and testing desirable.
• Familiarity with the Advisers Act and FINRA rules 

Qualifications: BA in Economics with 5 year of Experience

• Previous experience working in an Advisory Compliance role (ideally in an investment bank).
• Good product knowledge Cash Equities, Equity Derivatives, Structured Products, Rates, FX, Precious Metals
• Good communication skills: able to interact and work closely with the business, and colleagues cross-border and ability to adapt approach to suit audience.
• Thorough knowledge of key legislation, regulation and industry codes(i.e. MAR / MiFID II, EMIR, SFTR )
• Reliable, dependable, conscientious and demonstrating excellent attention to detail.
• Self-starter and strong team player
• Excellent IT skills across Microsoft applications as well as Bloomberg
• Good presentation skills.
• Min.B1 English written and speaking proficiency
• Initiative and grow in areas of responsibility and demonstrate an eagerness to learn

Qualifications: BA in Business Administration with 4 years of Experience

• Proficiency in Excel and other Microsoft Office Applications
• Detail oriented and adaptable
• Prior work experience with Code of Ethics or Personal Trading
• Knowledge of the Financial Industry
• Excellent analytical, reasoning, and problem-solving skills.
• Excellent verbal, written and interpersonal communication skills.
• Ability to multi-task, meet deadlines and handle multiple projects/priorities
• Ability to work well independently as well as collaboratively
• Ability to handle complex information, solve problems, and manage multiple tasks.
• Ability to communicate effectively with clients and within all levels of the organization.
• Well‐developed attention to detail and problem-solving skills and the ability to handle tasks independently

Qualifications: BA in Finance with 2 years of Experience

• Great communication and presentation skills
• Accuracy, attention to detail are a must with the ability to thrive in a fast-paced, deadline-driven environment.
• A team player with a 'can do' attitude
• Ability to write concise, accurate, business documents
• Highly disciplined individual, self-motivated, delivery focused with the ability to work independently and multi-task
• Strong Microsoft Office skills with proficiency in Excel, Word and PowerPoint.
• Excellent organizational skills.
• Experience in the financial services industry with sound knowledge of financial products
• Superior writing and editing skills with the ability to construct well-founded, clear, and concise analyses and recommendations.
• Experience in financial services, banking, consulting, or a government regulatory agency.
• Work well in a team environment

Qualifications: BA in Legal Studies with 3 years of Experience

• Exceptional writing and interpersonal communication skills
• Technical experience in the Information Security area.
• Experience with information security internal & external audits, governance and risk management
• Experience working with common information security standards, such as ISO 27001, NIST, PCI DSS, ITIL and COBIT
• Knowledge of security areas such as Auditing, Policy, Database Security, Firewall Design and Implementation, Risk Analysis, Identity Management, Vulnerability Management, Penetration testing, Access/Entitlements Management, or Web Services
• Experience researching, designing, implementing and supporting information security
• Flexibility to adjust to multiple demands, shifting priorities, ambiguity, and rapid change
• Attention to detail and good computer skills.
• Excellent spoken and written English
• A proven ability to work successfully in a team
• Demonstration of past academic and professional excellence

Qualifications: BA in Accounting with 2 years of Experience

• Compliance experience in the investment management industry
• Strong working knowledge of the Investment Advisors Act of 1940 and the Exchange Act of 1934
• Code of Ethics and personal trading experience
• A strong understanding and passion for compliance within a Supply Chain environment
• A high standard of verbal and written English, with the ability to communicate confidently and effectively with various stakeholders.
• Strong analytical skills and ability to distil large amounts of information and present it back in a clear way.
• Able to challenge, identify risks and issues, and facilitate best practice.
• Able to work independently and collaboratively in a remote working environment
• High level of integrity and responsibility
• Can manage deadlines, with strong attention to detail and problem-solving skills

Qualifications: BA in Public Administration with 6 years of Experience

• Prior securities-based compliance experience within a financial services organization 
• Experience reviewing and implementing regulatory changes helpful
• Advanced level of organizational skills and ability to deal with changing priorities
• Relevant professional qualifications desirable (For example, CISI, ICA)
• Experience with the FCA Handbook (in particular COBS, FUND, PROD, SYSC)
• Experience in Fund and Asset Management, in particular Alternative Investment Fund Management (“AIFM”) Firms and Collective Portfolio
• Strong attention to detail and strong analytical skills.
• Excellent technical, and communication skills
• Experience in a similar role, preferably in the financial services industry
• An analytical and inquisitive mindset with a desire to learn

Qualifications: BA in Criminal Justice with 2 years of Experience

• Experience in a healthcare/health insurance/health plan-specific compliance role.
• Strong relationship management skills
• Excellent written and communication skills.
• Creative, strategic, and continuously striving for improvement.
• Flexible and able to ramp up quickly on different projects to support the team as needed in a fast-paced start-up environment.
• Ability to think outside the box and offer creative and compliant solutions to existing and new problems.
• A law degree from an ABA Accredited Law School.
• Experience in start-ups, tech, healthcare, or insurance 
• Experience with project management.
• Experience with research and writing.

Qualifications: BA in Political Science with 3 years of Experience

• Understanding (or willingness to gain an understanding) of the financial markets and role of the Company’s various client types therein, along with applicable bodies of law and regulation that affect the primary research process, including insider trading laws and securities issuance are a plus
• Excellent written and verbal communication skills and the ability to independently handle complex topics using sound judgement and high integrity
• The ability to effectively manage and prioritize a multitude of tasks, and work independently in a fast-paced environment
• Detail and process oriented
• Proficiency with computer platforms and applications
• Ability to multitask
• Excellent communication skills and interpersonal skills
• Strong attention to detail
• Compliance experience in a highly regulated industry 
• Familiarity with seed-to-sale software programs (METRC, BioTrack, MJ Freeway, etc.) 

Qualifications: BA in Economics with 1 year of Experience

• Experience in a financial compliance role, preferably with strong CASS knowledge
• Previous exposure to FCA Handbook (CoBs, Financial Promotions Order and IFPR) a benefit
• Financial Compliance qualifications are a benefit but not essential
• An eye for detail, an adaptable team player in a fast-moving, dynamic environment
• Forward thinking and proactive
• Experience in a broad compliance position, ideally within the wealth management or asset management space
• A solid understanding of the regulatory environment
• A good working knowledge of financial services regulation
• Excellent oral and written communication skills, and ability to interact professionally at all levels.
• Ability to prioritize and flexibility to shift between multiple projects while maintaining a strong work ethic.

Qualifications: BA in Business Administration with 4 years of Experience

• Familiarity with the relevant laws, regulations and exchange rules in the securities and futures market
• Prior experience in regulatory compliance roles within the financial services industry 
• Bilingual in English and Mandarin.
• Ability to work independently under pressure with attention to detail
• Ability to read and comprehend banking laws/regulations.
• Proficient with Microsoft Office suite.
• Confidentiality and sound business judgement.
• Strong analytical abilities, strong attention to detail.
• Effective problem-solving abilities.
• Strong organization skills and ability to prioritize and multitask.
• Able to work independently and be a self-starter.
• Excellent communication skills, both verbal and written.

Qualifications: BA in Finance with 2 years of Experience

• Experience working in Risk, Compliance, Governance, Audit, and/or Law.
• ICA advanced certificate 
• Qualification(s) in Sanctions Risk, Labour and Ethics, Trade Control and/or Audit 
• Proficient in business-level German or French
• Experience working in a retail, engineering, logistics environment and understanding of industry regulations.
• Understanding of risk, governance, international standards, and industry best practices.
• Experience using risk management tools.
• Experience implementing and/or working within industry frameworks such as ISO standards.
• Ability to identify emerging trends and changes within the regulatory landscape and articulate compliance considerations as part of day to day business interactions.
• Strong organizational skills with respect to time management, work production and prioritization. 
• Able to multi-task, work independently and as part of a team, share workloads, and deal with sudden shifts in priorities.

Qualifications: BA in Legal Studies with 3 years of Experience