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Location: New York, NY; Salt Lake City, UT; San Francisco, CA Flex is a growth-stage, NYC headquartered FinTech company that is building the payment layer for life's financial obligations, giving households one place to see, split, and pay their bills around how they live and get paid. By offering greater choice over how and when payments are made and allowing eligible on time payments to help build a positive credit history, Flex puts households back in control of their cash flow. That work brings together people with different perspectives who challenge the status quo and take ownership of solving difficult problems. For you, that means doing the best work of your career next to people who make you better, and together bringing ideas to life that make a real impact for the people we serve. About the Role Flex is building a next-generation compliance function where AI-enabled systems and human expertise work together to scale regulatory oversight without slowing product innovation. As Associate Director, Product Compliance, you will be a senior individual contributor on the Product Compliance team, reporting to the Head of Product Compliance and partnering closely with Product, Engineering, Legal, Risk, Marketing, and bank partners to enable compliant innovation across Flex's lending and payments ecosystem. This is a hands-on execution role, not a people leadership role. You will not run the team, manage staff, or own the function's strategy; the Head of Product Compliance owns those. You will carry the most complex advisory work yourself and make the function faster by running and improving AI-enabled review workflows, clear standards, and disciplined documentation rather than by adding headcount. You will be responsible for: Owning individual advisory reviews end to end for product launches, product changes, and marketing initiatives Delivering fast, precise regulatory interpretation that is well documented and defensible Operating and improving AI-enabled review workflows, automated monitoring, and compliance tooling in daily practice Coordinating bank partner review and approval for products and consumer-facing content What You Will Do Carry advisory reviews for product launches, product changes, marketing initiatives, and emerging regulatory issues end to end, ensuring every decision is well documented and defensible. Apply consumer protection regulations, including lending, payments, and fintech regulatory frameworks, directly to product design, disclosures, fee structures, and customer journeys. Execute risk-tiered review processes and maintain the standards libraries, templates, and precedents that keep reviews fast, consistent, and reusable across the function. Operate AI-assisted review systems and agent-based workflows in areas such as marketing compliance review, regulatory change monitoring, and product risk assessment. Check their output before it goes into a determination, and improve them based on what you see in daily use. Conduct product risk assessments ahead of launch, identify gaps early, and drive them to resolution with product and engineering owners. Partner with product and operations teams to investigate compliance issues, drive root-cause remediation, and strengthen preventative controls. Coordinate day-to-day with bank partners on product and marketing approvals, producing documentation that withstands examiner and partner scrutiny. Write review files so another reviewer can pick up the work, and turn repeat questions into templates and standards. Raise the quality and turnaround bar by example: set precedent other reviewers reuse and mentor junior team members informally. This role carries no direct management responsibility. Who You Are 8+ years of experience in product compliance, compliance advisory, or regulatory risk roles within fintech, consumer lending, payments, banking, or financial services. A hands-on operator with high personal throughput: you own complex reviews yourself, document precisely, and are comfortable being accountable for outcomes without a team. Deep working knowledge of consumer protection regulations for lending and payments, with a demonstrated ability to translate requirements into product guardrails that hold up under scrutiny. An effective partner to product and engineering teams during development; you influence decisions through clarity and credibility rather than authority. AI and Compliance Modernization Experience A daily user of AI tools in your own work, with experience operating or implementing AI-enabled compliance tooling, automation, or agent-based workflows within compliance, risk, or product governance functions. Familiarity with using technology to improve the speed, quality, and scalability of compliance review processes. Ability to translate regulatory requirements into technology-driven review processes that integrate into product and operational workflows. Compensation Flex takes a market-based approach to pay, ensuring compensation is commensurate with a candidate's experience and our internal leveling guidelines. For candidates located in our Tier 1 (NYC/Bay Area) and Tier 3 (Salt Lake City) markets, the base salary pay range for this role is below. Flex utilizes a geographic pay differential based on a cost of labor index. If you are located outside of the cities listed below, your starting pay will be adjusted to align with the market conditions of your specific geographic zone. Please speak with your recruiter for additional information regarding the specific range for your location. Tier 1 (NYC/Bay Area) $176,000 — $220,000 USD Tier 3 (Salt Lake City) $149,600 — $187,000 USD Life at Flex Building a successful company takes a diverse team of intelligent, curious, determined, empathetic, and self-aware people. Our headquarters is in New York City, with employees across the US, Australia, Canada, and South America. We’re growing quickly and deliberately, with a focus on building an inclusive culture. We value the perspectives our people bring and take pride in being an equal opportunity workplace. Offices Roles posted in New York, San Francisco, and Salt Lake City are hybrid positions with on-site expectations of 2-3 days per week in our local offices. For candidates outside of these areas, you may be eligible for our relocation assistance program. Benefits View our benefits and more at getflex.com/careers .

Location: New York, NY; San Francisco, CA; Utah Flex is a growth-stage, NYC headquartered FinTech company that is building the payment layer for life's financial obligations, giving households one place to see, split, and pay their bills around how they live and get paid. By offering greater choice over how and when payments are made and allowing eligible on time payments to help build a positive credit history, Flex puts households back in control of their cash flow. That work brings together people with different perspectives who challenge the status quo and take ownership of solving difficult problems. For you, that means doing the best work of your career next to people who make you better, and together bringing ideas to life that make a real impact for the people we serve. About the Role Flex is building a modern compliance organization designed to scale with a high-growth fintech. Our goal is not only to meet regulatory expectations but to operate a technology-forward compliance function that uses automation, data, and AI-enabled workflows to improve quality, speed, and scalability. The Associate Director, CMS, will own and evolve key components of Flex's Compliance Management System and help shape how compliance operates across the company. This role sits at the intersection of regulatory strategy, operational execution, and technology enablement, partnering closely with Product, Engineering, Risk, and Legal to build compliance into how Flex builds and runs its products. This role will own policy and standards, training, program management, and audit support. This is a senior individual contributor role with no direct reports. It reports to the Director, CMS Operations. The right candidate brings strong regulatory expertise and a systems mindset: someone who can turn regulatory expectations into operational frameworks and find ways to modernize compliance through automation and AI-enabled tools. What You Will Do Own CMS policy, standards, and training: keep policies current, approved on schedule, and mapped to regulatory requirements, and keep training complete and current. Serve as the day-to-day contact for partner banks on program management questions and requests; own the calendar of recurring deliverables, checking for accuracy and timeliness before they go out. Run CMS program management: the governance calendar, committee materials, and tracking of control and issue owners to closure. Translate regulatory expectations into clear, durable operational frameworks and controls that keep the organization audit- and exam-ready, and write them so another person can run them. Support audits led by the Director, CMS Operations: prepare CMS evidence, coordinate responses, and track remediation to closure. Use reporting from Compliance Reporting and Analytics and from Testing and Monitoring to find program gaps and drive changes to policy, training, and controls. Use AI tools to speed up policy, training, and documentation work, checking the output before it is relied on. Partner with Engineering and internal tooling teams to embed compliance controls directly into systems, automation, and data pipelines. Act as a strategic partner to Product, Risk, Legal, and Engineering to support operational initiatives and product launches while maintaining regulatory defensibility. Who You Are 8+ years of experience in financial services or fintech compliance with increasing program ownership and strategic scope. Strong experience building or operating Compliance Management Systems or large programmatic compliance functions. Deep expertise in consumer protection regulations, including Reg E, Reg Z, UDAAP, and FCRA. Experience supporting regulatory exams, external audits, or bank partner oversight in a regulated financial services environment. Comfortable finding opportunities to use automation, data, and AI-enabled workflows to improve compliance operations, and in the habit of checking AI output before relying on it. Strong analytical and structured problem-solving skills with the ability to identify systemic risk and operational improvements. Effective communicator able to influence regulators, bank partners, executives, and technical teams. Builder mindset, energized by creating scalable systems rather than maintaining legacy processes. Bachelor's degree required; JD or advanced degree is a plus. Compensation Flex takes a market-based approach to pay, ensuring compensation is commensurate with a candidate's experience and our internal leveling guidelines. For candidates located in our Tier 1 (NYC/Bay Area) and Tier 3 (Salt Lake City) markets, the base salary pay range for this role is below. Flex utilizes a geographic pay differential based on a cost of labor index. If you are located outside of the cities listed below, your starting pay will be adjusted to align with the market conditions of your specific geographic zone. Please speak with your recruiter for additional information regarding the specific range for your location. Tier 1 (NYC/Bay Area) $176,000 — $220,000 USD Tier 3 (Salt Lake City) $149,600 — $187,000 USD Life at Flex Building a successful company takes a diverse team of intelligent, curious, determined, empathetic, and self-aware people. Our headquarters is in New York City, with employees across the US, Australia, Canada, and South America. We’re growing quickly and deliberately, with a focus on building an inclusive culture. We value the perspectives our people bring and take pride in being an equal opportunity workplace. Offices Roles posted in New York, San Francisco, and Salt Lake City are hybrid positions with on-site expectations of 2-3 days per week in our local offices. For candidates outside of these areas, you may be eligible for our relocation assistance program. Benefits View our benefits and more at getflex.com/careers .

Location: San Francisco Workplace: Hybrid WHY HARVEY At Harvey, we’re transforming how legal and professional services operate. By combining frontier agentic AI, an enterprise-grade platform, and deep domain expertise, we’re reshaping how critical knowledge work gets done for decades to come. This is a rare chance to help build a generational company at a true inflection point. We have strong product-market fit and world-class investor support. We’re scaling fast and defining a new category in real time. The work is ambitious, the bar is high, and the opportunity for growth — personal, professional, and financial — is unmatched. Our team moves fast, takes ownership, and is deeply committed to the mission — operating with intensity, staying close to our customers, and pushing each other for excellence. We live by three values: Decisiveness, Simplicity, and Job's Not Finished. We act quickly on clear judgment over perfect information, we believe simplicity is what scales, and we're never satisfied with where we are. If you want to do the best work of your career alongside people who share that drive, we'd love to build with you. At Harvey, the future of professional services is being written today — and we’re just getting started. ROLE OVERVIEW Harvey's Compliance Engineering team is the compliance professionals counterpart to our Legal Engineering team: compliance professionals who bring real compliance and risk management experience to Harvey's prospects and customers. Compliance Engineers understand how compliance teams think and work, and they use that expertise to design, build, and refine solutions that hold up under live, in-practice pressure. They also shape Harvey’s product roadmap, so every release is grounded in what compliance teams need. They serve as the subject matter layer across the entire customer lifecycle, from the first pilot to the most complex, custom-built workflow. This Compliance Engineer will be the founding member of this team, working directly with the leader of Legal Engineering to define the role and, as the function grows, build it out. You may be asked to travel around 2-3+ times per month. Travel is always for a significant business need and typically is for 1-3 days at a time. WHAT YOU'LL DO Compliance Engineers are compliance professionals who want to help build the future of how compliance work gets done. Working closely with Account Executives and Customer Success Managers, you will engage with compliance, risk, and regulatory teams across the customer lifecycle, from the first conversation to a complex workflow and ongoing use. You will: - Partner with Account Executives to lead discovery to understand how compliance processes run today and where the time and risk sit. - Demonstrate Harvey on real compliance use cases and run collaborative pilots that show meaningful value. - Train compliance teams and help them configure and build agents and workflows they can put into practice. - Bring customer and prospect feedback back to Product and Engineering to help shape the roadmap. - Help define the Compliance Engineer role and build the playbook, including demo assets, use cases, and engagement models. - As the function grows, help hire and develop the team. The scope of this role is intentionally open. You will help shape it. WHAT YOU HAVE - Experience as a compliance practitioner in-house, at a regulated company, in consulting or advisory, or advising a sophisticated compliance team. - Strong understanding of the workflows, challenges, and demands of compliance teams, including balancing regulatory risk with business priorities. - Comfort with technology and operations, and a builder’s instinct for turning a repeated manual process into something repeatable. - A commercial mindset, with the ability to understand customer value and make the case for change. - Executive presence and relationship-building skills, with the ability to establish credibility with compliance leaders and business stakeholders at all levels. - Outstanding communication and presentation skills. You’re comfortable leading a live demo, facilitating a workshop, or engaging in strategic customer conversations. - Deep curiosity about AI’s potential to transform compliance work, paired with a practical, solutions-oriented mindset and bias toward action. - Comfort with ambiguity and excitement about helping define a new role and function. - Experience at a technology or SaaS company, sales or customer-facing experience (solutions consulting, pre-sales, advisory), and/or hands-on experience using AI tools in compliance work are all pluses. COMPENSATION $218,400 - $327,600 USD (75/25) OTE   DEPENDING ON YOUR LOCATION, AN APPLICANT PRIVACY NOTICE MAY APPLY TO YOU. YOU CAN FIND ALL OF OUR APPLICANT PRIVACY NOTICES HERE https://harveyai.notion.site/Harvey-Candidate-Privacy-Notices-319ac3fcdd7a803bb807d5094f249922?pvs=74.   #LI-TA2   Harvey is an equal opportunity employer and does not discriminate on the basis of race, gender, sexual orientation, gender identity/expression, national origin, disability, age, genetic information, veteran status, marital status, pregnancy or related condition, or any other basis protected by law. We are committed to providing reasonable accommodations to applicants with disabilities, and requests can be made by emailing accommodations@harvey.ai

Location: New York Workplace: Hybrid WHY HARVEY At Harvey, we’re transforming how legal and professional services operate. By combining frontier agentic AI, an enterprise-grade platform, and deep domain expertise, we’re reshaping how critical knowledge work gets done for decades to come. This is a rare chance to help build a generational company at a true inflection point. We have strong product-market fit and world-class investor support. We’re scaling fast and defining a new category in real time. The work is ambitious, the bar is high, and the opportunity for growth — personal, professional, and financial — is unmatched. Our team moves fast, takes ownership, and is deeply committed to the mission — operating with intensity, staying close to our customers, and pushing each other for excellence. We live by three values: Decisiveness, Simplicity, and Job's Not Finished. We act quickly on clear judgment over perfect information, we believe simplicity is what scales, and we're never satisfied with where we are. If you want to do the best work of your career alongside people who share that drive, we'd love to build with you. At Harvey, the future of professional services is being written today — and we’re just getting started. ROLE OVERVIEW Harvey's Compliance Engineering team is the compliance professionals counterpart to our Legal Engineering team: compliance professionals who bring real compliance and risk management experience to Harvey's prospects and customers. Compliance Engineers understand how compliance teams think and work, and they use that expertise to design, build, and refine solutions that hold up under live, in-practice pressure. They also shape Harvey’s product roadmap, so every release is grounded in what compliance teams need. They serve as the subject matter layer across the entire customer lifecycle, from the first pilot to the most complex, custom-built workflow. This Compliance Engineer will be the founding member of this team, working directly with the leader of Legal Engineering to define the role and, as the function grows, build it out. You may be asked to travel around 2-3+ times per month. Travel is always for a significant business need and typically is for 1-3 days at a time. WHAT YOU'LL DO Compliance Engineers are compliance professionals who want to help build the future of how compliance work gets done. Working closely with Account Executives and Customer Success Managers, you will engage with compliance, risk, and regulatory teams across the customer lifecycle, from the first conversation to a complex workflow and ongoing use. You will: - Partner with Account Executives to lead discovery to understand how compliance processes run today and where the time and risk sit. - Demonstrate Harvey on real compliance use cases and run collaborative pilots that show meaningful value. - Train compliance teams and help them configure and build agents and workflows they can put into practice. - Bring customer and prospect feedback back to Product and Engineering to help shape the roadmap. - Help define the Compliance Engineer role and build the playbook, including demo assets, use cases, and engagement models. - As the function grows, help hire and develop the team. The scope of this role is intentionally open. You will help shape it. WHAT YOU HAVE - Experience as a compliance practitioner in-house, at a regulated company, in consulting or advisory, or advising a sophisticated compliance team. - Strong understanding of the workflows, challenges, and demands of compliance teams, including balancing regulatory risk with business priorities. - Comfort with technology and operations, and a builder’s instinct for turning a repeated manual process into something repeatable. - A commercial mindset, with the ability to understand customer value and make the case for change. - Executive presence and relationship-building skills, with the ability to establish credibility with compliance leaders and business stakeholders at all levels. - Outstanding communication and presentation skills. You’re comfortable leading a live demo, facilitating a workshop, or engaging in strategic customer conversations. - Deep curiosity about AI’s potential to transform compliance work, paired with a practical, solutions-oriented mindset and bias toward action. - Comfort with ambiguity and excitement about helping define a new role and function. - Experience at a technology or SaaS company, sales or customer-facing experience (solutions consulting, pre-sales, advisory), and/or hands-on experience using AI tools in compliance work are all pluses. COMPENSATION $218,400 - $327,600 USD (75/25) OTE DEPENDING ON YOUR LOCATION, AN APPLICANT PRIVACY NOTICE MAY APPLY TO YOU. YOU CAN FIND ALL OF OUR APPLICANT PRIVACY NOTICES HERE https://harveyai.notion.site/Harvey-Candidate-Privacy-Notices-319ac3fcdd7a803bb807d5094f249922?pvs=74. #LI-TA2 Harvey is an equal opportunity employer and does not discriminate on the basis of race, gender, sexual orientation, gender identity/expression, national origin, disability, age, genetic information, veteran status, marital status, pregnancy or related condition, or any other basis protected by law. We are committed to providing reasonable accommodations to applicants with disabilities, and requests can be made by emailing accommodations@harvey.ai

Location: Belgrade, Serbia; Poland; Kazakhstan; Spain; Georgia Social Discovery Group (SDG) is a group of social discovery companies. SDG solves the problems of loneliness, isolation, and disconnection - transforming virtual intimacy into the new normal. SDG’s products redefine the way people interact and connect with one another. Our portfolio includes social entertainment platforms designed to connect people online across different cultures and regions of the world. We bring together a team of like-minded people and IT professionals who specialize in creating and developing globally impactful social discovery products. Our international team of digital nomads works remotely from all over the world. We’re proud to be a two-time “Great Place to Work” winner (USA & Japan, 2024–2025) and a Top-5 Company for Work-From-Anywhere Jobs (FlexJobs, 2025). We are looking for a Head of Compliance & Customer Protection to join our team. Your main tasks will be: Merge moderation and Customer Protection into one process: signal → risk assessment → review → decision → enforcement → appeal; Manage moderation of clients and partners: set review priorities, SLAs, quality control and the review of wrongful restrictions; Run investigations of complaints and violations: fraud, pressure on clients and other prohibited practices; ensure evidence and proportionate decisions; Develop and update rules together with Legal; turn agreed requirements into instructions for moderators, Support, Supply and partners; Ensure decisions are enforced across teams: Support communicates with the client, Supply drives partner actions, Compliance checks that the violation is fixed and does not recur; Remove root causes of repeat violations: change checks, rules, partner training and product requirements based on investigation findings; Automate checks with error control: together with ML and automation, choose processes to automate and set requirements for accuracy, manual review, appeals and rollback; Manage the team (in-house and freelancers) and the function's efficiency: plan workload, train people, review errors, control the speed, quality and cost of checks; Report the risk picture: serious and repeat violations, misses, wrongful blocks, investigation timelines and enforcement of measures. We expect from you: Building an end-to-end risk process: intake, risk assessment, investigation, decision, enforcement, appeal; Moderation management: priorities, SLAs, quality control, sample-based review; Investigations: collecting evidence, recognising fraud and pressure patterns, proportionate measures; Turning legal requirements into operational rules and instructions for several teams; Automating checks with ML: requirements for accuracy, manual review, appeals and rollback; evaluating pilots by missed violations and wrongful blocks; Data and reporting: case tracking by risk, cause, timing, decisions and recurrence; checking data quality and separating the effect of measures from changes in volume. What do we offer: REMOTE OPPORTUNITY to work full-time; The initial pay level or pay range for this role will be shared with candidates during the recruitment process and before the commencement of employment; Vacation 28 calendar days per year; 7 wellness days per year (time off) that can be used to deal with household issues, to lie down and recover without taking sick leave; Children's education reimbursement . 50% compensation for the costs of kindergarten or school, up to $1000 gross per year per child, according to the paychecks after the integration period. Bonuses up to $5000 for recommending successful applicants for positions in the company; 50% payment for professional training, international conferences, and meetings; Corporate discount for English lessons; ​ Health benefits. According to the paychecks, if you are not eligible for corporate medical insurance, the company will compensate you with up to $ 1,000 gross per year per employee. This can be spent on self-purchase of health insurance or on doctor’s fees for yourself and close relatives (spouse, children); ​ Workplace organization. The company provides all employees with an equipped workplace and all the necessary equipment (table, armchair, wifi, etc.) in our offices or co-working locations. In the other locations, the company provides reimbursement of workplace costs up to $ 1000 gross once every 3 years, according to the paychecks. This money can be spent on the rent of the co-working room, on equipping the working place at home (desk, chair, Internet, etc.) during those 3 years; Internal gamified gratitude system: receive bonuses from colleagues and exchange them for our merchandise, team building activities, massage certificates, etc. Sounds good? Join us now!

Location: Flexible Workplace: Remote Job Title: Deputy Head of Compliance Department: Compliance Reports to: Head of Global Compliance Location: Flexible About Codex Codex is a fast-growing stablecoin payments company, building the infrastructure for cross-border payments that move money faster, cheaper, and more transparently than the legacy financial system. We’re backed by Pantera, Circle, Coinbase, Dragonfly, Wintermute, and Cumberland, and demand keeps outpacing what we’ve built so far. We’re a small team solving hard problems at the intersection of crypto and global payments, and the people who join now don’t just ride that growth, they build and scale it with us. You’ll own real problems, work directly with the founders, and shape how Codex grows from here. The Role We are rapidly expanding our cross-border payments capability, and the compliance programme behind it needs an action-oriented, dedicated leader. You’ll own it: the payments compliance frameworks, and the risk decisions on the B2B clients and partners we onboard. You’ll also own transaction monitoring and investigations across fiat and on-chain flows, deciding how we monitor and what gets escalated. You’ll work directly with our Head of Global Compliance, who leads our global compliance programmes. This is a hands-on role – you’ll write the frameworks, work cases yourself, and deal with regulators and financial partners directly, while building a Compliance Operations team. Responsibilities Payments Flows & Partners - Review the flow of funds for new corridors, products and payment partners, and set the compliance conditions before launch - Own compliance oversight of third-party payment models, including outsourced KYB, partner-level controls and ongoing monitoring of partner performance - Apply Travel Rule requirements and counterparty VASP due diligence to stablecoin transfers Compliance Frameworks & Controls - Build and own the compliance framework for B2B cross-border payments, covering payouts, collections and stablecoin on- and off-ramps - Write and maintain the AML/CFT, sanctions, KYB and transaction monitoring policies that govern those flows, calibrated to our risk profile and to local requirements in each corridor - Own the corridor- and jurisdiction-level risk assessments, including the risks specific to each payment rail, partner and flow of funds, and support the firm-wide assessment - Set the compliance requirements for new products and client segments before they go live - Support licence applications and regulator engagement for the markets we expand into Transaction Monitoring & Investigations - Own the transaction monitoring framework across fiat and on-chain flows: scenarios, thresholds, alert logic and coverage against our risk assessment and designed to capture risks across third-party payment flows - Tune rules using data. Measure false positives, identify gaps, and adjust so that alert quality improves as volume grows - Review and decide on escalated alerts. Raise requests for information, and decide whether to close, escalate or convert a case to a suspicious activity report - Write and file suspicious activity reports to a high standard and keep case files audit-ready - Work with Engineering and Product to specify monitoring requirements and automation, so that more first-line review can be automated over time Client & Partner Risk - Make risk determinations on complex B2B clients and financial partners, including opaque structures, high-risk jurisdictions and sensitive industries - Review and sign off on higher-risk onboardings, and handle escalations from the Compliance Operations team - Support responses to due diligence requests and RFIs from financial partners, banks and regulators Team & Governance - Set investigation standards, SLAs and quality checks for the Compliance Operations team, and coach junior analysts - Produce management information on alerts, ageing, SAR conversion, EDD pipeline and review backlog for leadership What We’re Looking For - 8+ years in financial crime compliance, including at least 5 years in B2B cross-border payments compliance, such as payouts, collections or correspondent banking - Background at a reputable fintech or payments company - Working knowledge of payment rails and flow of funds (SWIFT, SEPA, local schemes) and the risks each creates - Experience working on licence applications and writing compliance frameworks in at least one of the US, LatAm, APAC or Africa, and ideally in more than one - Experience designing, tuning and governing transaction monitoring rules, not only working alerts - Experience writing and filing suspicious activity reports, and handling regulator or bank partner scrutiny - Sound judgement: you can make a defensible risk call on incomplete information and explain it clearly to the business and to regulators - A do-er: you have personally written policies, worked cases and handled regulator queries, not just advised or supervised - Comfortable with data: you can interrogate transaction data yourself and work with Engineering on requirements Nice to Have - Direct experience with MSB, money transmitter or e-money licensing - Experience with digital assets, stablecoins or VASP regimes, including on-chain monitoring and Travel Rule - Experience setting up a compliance or monitoring function at a scale-up - Prior experience as a deputy MLRO or in an MLRO-adjacent role

Location: London, United Kingdom - Deliveroo Our Global Structure Deliveroo is now part of DoorDash, bringing together teams with even greater reach, scale, and ambition. Depending on your role, you may collaborate with teammates, systems, and leaders across DoorDash and Wolt. Together, we’re unlocking new possibilities as one global team. About the team We’re looking for a talented individual to join our Rider Onboarding and Compliance Team. This is a bustling and vibrant team that helps applicants become riders to ensure we have enough riders in the fleet to supply customer demand and proactively ensure riders remain in service and compliant during their time with Deliveroo. This is the perfect opportunity to join an exciting, fast-growing business and expand your operational abilities. About the role You will report to the Rider Compliance Team Lead and collaborate with the Rider Compliance Team to proactively ensure riders remain in-service and compliant by effectively and efficiently managing compliance pipelines. In collaboration with the Rider Compliance Senior team, you will be responsible for reducing rider downtime resulting from compliance processes and ensuring Deliveroo is compliant with local laws at all times What you'll be doing: Accurately load riders to compliance sweeps to ensure we have valid and compliant rider information and documentation Monitor the rider compliance flows to ensure minimal friction in the process Provide SME compliance knowledge to Deliveroo team to ensure we successfully launch in new markets and our fleet remains compliant Manage vendor compliance queues to ensure that compliance cases are reviewed and actioned efficiently Develop and provide SME market-specific compliance knowledge to our vendors and internal teams Respond to internal and external compliance escalations Ensure the Rider Compliance Team process and training documentation is up-to-date Provide comprehensive training to new starters and our vendors Collaborate with the Compliance Team to identify opportunities for reducing inefficiencies within our processes Collaborate with the broader Rider Compliance Team to achieve KPIs and targets Proactively identify, investigate and take appropriate actions to mitigate rider compliance risk within our fleet or processes Requirements You are proficient in written and spoken English You are an excellent and confident communicator You are highly organised You are detail-oriented You are a strong team player You are happy working in a fast-paced environment and can easily adapt to change You are self-motivated and eager to learn You are curious and can challenge processes that aren’t working -- you get to the bottom of things You are familiar with G-Sheets or Excel (can maintain complex spreadsheets). Experience using Salesforce Why Deliveroo Our mission is to transform the way you shop and eat, bringing the neighbourhood to your door by connecting consumers, restaurants, shops and riders. We are transforming the way the world eats and shops by making access to food and products more convenient and enjoyable. We give people the opportunity to buy what they want, as they want it, when and where they want it. We are a technology-driven company at the forefront of the most rapidly expanding industry in the world. We are still a small team, making a very large impact, looking to answer some of the most interesting questions out there. We move fast, value autonomy and ownership, and we are always looking for new ideas. Workplace & Benefits At Deliveroo we know that people are the heart of the business and we prioritise their welfare. Benefits differ by country, but we offer many benefits in areas including healthcare, well-being, parental leave, pensions, and generous annual leave allowances, including time off to support a charitable cause of your choice. Benefits are country-specific, please ask your recruiter for more information. Diversity, Equity and Inclusion At Deliveroo, we know that a great workplace reflects the world around us and that true diversity and inclusion make us stronger, more creative, and better at what we do. We’re committed to fostering an environment where everyone can do their best work and feel they belong. We believe in equality of opportunity and welcome candidates from all backgrounds regardless of age, gender, ethnicity, disability, sexual orientation, gender identity, socio-economic background, religion, or belief. If you have a disability or long-term health condition and need support to apply for one of our roles, or require any reasonable adjustments during the recruitment process, you’ll have the opportunity to let us know once you’ve submitted your application. We’ll share details on how to request support so we can ensure you have a fair and equitable experience. If you’re excited about making a real impact in a fast-moving marketplace and growing your career alongside ambitious, supportive teams, we’d love to hear from you! Beware of recruitment scams: DASH Brands will never ask you to pay money or share sensitive financial information during hiring — learn more about DASH Brands' legitimate recruiting process at careersatdoordash.com/recruitment-scam-awareness .

Location: Remote Roles - EMEA Who We Are At OKX, we believe that the future will be reshaped by crypto, and ultimately contribute to every individual's freedom. OKX is a leading crypto exchange, and the developer of OKX Wallet, giving millions access to crypto trading and decentralized crypto applications (dApps). OKX is also a trusted brand by hundreds of large institutions seeking access to crypto markets. We are safe and reliable, backed by our Proof of Reserves. Across our multiple offices globally, we are united by our core principles: We Before Me , Do the Right Thing , and Get Things Done . These shared values drive our culture, shape our processes, and foster a friendly, rewarding, and diverse environment for every OK-er. OKX is part of OKG, a group that brings the value of Blockchain to users around the world, through our leading products OKX, OKX Wallet, OKLink and more. About the Opportunity OKX is hiring a Senior Compliance Officer to build and run our global derivatives trade and transaction reporting function. The function covers CFTC swap data reporting under Part 45, EU transaction reporting under MiFIR, EU derivatives reporting under EMIR, UK MiFIR and UK EMIR, and ASIC derivative transaction reporting across multiple OKX entities and a growing derivatives product set. These regimes have different scopes, reporting parties, data requirements and destinations. You will determine how they apply to OKX’s activities and help build a reliable process for meeting each obligation. Most of the work is data and judgment: deciding what is reportable, by which entity, and to whom, then making sure the right trade and lifecycle data reaches the right swap data repository, trade repository, or regulator on time and reconciles to our trading records. You will own reporting scoping/eligibility, submission monitoring, and the controls that show our reports are complete, accurate, and timely. This is a hands-on Compliance leadership role. You will work with Trading, Product, Engineering, Data, Legal, local Compliance teams and reporting providers, and you will lead regulatory change in this space. Responsibilities for source data, systems, submissions and remediation will be agreed across those teams; you will lead the compliance framework and stay close enough to the process to identify and proactively resolve problems. You will report to the Head of Markets and Product Compliance and support a central function that owns reporting interpretation, scoping, oversight, and remediation for every entity in scope. What You’ll Be Doing Interpret and apply derivatives and transaction reporting rules across global regimes, including CFTC Part 45, MiFIR Article 26, EMIR Article 9, UK MiFIR, UK EMIR, and the ASIC Derivative Transaction Rules (Reporting) 2024, exercising independent technical judgment, supported by Legal and outside counsel. Own and maintain entity, product, and transaction-level reporting scoping and eligibility: which entity reports, which products and lifecycle events are in scope, which counterparty role triggers the obligation, and which repository or authority receives the report. Oversee, support, and help maintain the daily reporting process. Monitor submissions against deadlines, including T+1 for MiFIR transaction reports, investigate rejections and breaks, and track each one to resolution. Reconcile reported activity to trading records and repository data, and coordinate corrections and back-reporting with the teams that own the relevant systems and data. Define and maintain the reporting data specification with Engineering and Data, including field-level mapping, reference data such as LEIs, UTIs, UPIs, and ISINs, and the validation rules applied before submission. Build and run the control framework: completeness, accuracy, and timeliness checks, exception management, management information, and records that hold up to regulator and audit review. Drive reporting readiness and remediation. Assess new derivatives products, new entities, and regulatory changes, identify control gaps, agree on owners and deadlines across Compliance, Operations, Product, and Engineering, and track delivery. Escalate material issues. Assess the impact of reporting errors, escalate to senior management, and support notifications to regulators where required. Manage relationships with swap data repositories, trade repositories, approved reporting mechanisms, and reporting vendors, including onboarding, testing, and service issues. Hands-on leader. Build a small team, and coordinate with and train local compliance leads. Support independent testing by Compliance Monitoring, Risk, and Internal Audit, and support regulator inquiries with complete, reproducible records. What We Look For In You A degree in finance, economics, law, data science, or computer science, or an equivalent professional qualification 7+ years in trade reporting, transaction reporting, or regulatory reporting at an exchange, broker, bank, trading firm, fintech, or digital asset platform Deep working knowledge of at least two of the following regimes: CFTC swap data reporting, MiFIR transaction reporting, EMIR, UK MiFIR, UK EMIR, and ASIC derivative transaction reporting. Hands-on experience with both a US and a European regime is strongly preferred. A sound understanding of derivatives trade lifecycles and the data needed to report executions, changes, terminations and, where applicable, valuations and collateral. The ability to interrogate large datasets, investigate reporting breaks and explain clear requirements to engineers and other business partners. SQL or comparable data analysis skills are highly desirable. Experience building or improving a reporting framework, including procedures, reconciliations, exception management and evidence that can withstand regulatory or audit scrutiny; this may include remediating historical reporting errors, including back-reporting. The judgment to make proportionate risk decisions, escalate material issues and lead delivery across teams without relying on a single team to own every part of the reporting process. Experience with digital asset derivatives, such as perpetual futures and options, and how they map to reporting product classifications Nice to Haves Experience leading a regulatory reporting change program, such as EMIR Refit, UK EMIR Refit, the CFTC reporting rewrite, or the ASIC 2024 rules. Familiarity with ISO 20022 XML reporting formats. Python or similar scripting for data validation, and experience with data warehouse tools such as Databricks. Perks & Benefits Competitive total compensation package L&D programs and Education subsidy for employees' growth and development Various team building programs and company events More that we love to tell you along the process! Notice: All official OKX vacancies are published on this website. While roles may appear on selected third-party platforms from time to time, information on other sites may be inaccurate or outdated. If in doubt, please apply directly through our official careers website. Information collected and processed as part of the recruitment process of any job application you choose to submit is subject to OKX 's Candidate Privacy Notice .

Location: Kuala Lumpur, Malaysia Who We Are At OKX, we believe that the future will be reshaped by crypto, and ultimately contribute to every individual's freedom. OKX is a leading crypto exchange, and the developer of OKX Wallet, giving millions access to crypto trading and decentralized crypto applications (dApps). OKX is also a trusted brand by hundreds of large institutions seeking access to crypto markets. We are safe and reliable, backed by our Proof of Reserves. Across our multiple offices globally, we are united by our core principles: We Before Me , Do the Right Thing , and Get Things Done . These shared values drive our culture, shape our processes, and foster a friendly, rewarding, and diverse environment for every OK-er. OKX is part of OKG, a group that brings the value of Blockchain to users around the world, through our leading products OKX, OKX Wallet, OKLink and more. About the Team The Financial Crime Quality Assurance (QA) team at OKX is part of the Compliance Assurance function and is responsible for reviewing and rating the quality of AML Transaction Monitoring alert disposition and Financial Crime Investigations performed by the Global Financial Crime Investigations Team. We are a team of risk-focused compliance experts who independently assess investigation quality, promote consistency in decision-making, and ensure compliance with AML/CFT requirements, internal policies, and regulatory expectations. By working closely with Operations, Product, and Compliance teams, we help strengthen financial crime controls and drive continuous improvement across the investigation lifecycle. About the Opportunity This is an exciting opportunity to join the Compliance Assurance Function of a regulated crypto business. As a QA Analyst, you will be responsible for conducting quality reviews of financial crime investigations, assessing investigator decision-making, and ensuring compliance with AML/CFT requirements, internal policies, and quality standards. You will work closely with Operations, Team Leads, and Product teams to drive continuous improvement, strengthen investigation quality, and support the effectiveness of the firm's financial crime controls. What You’ll Be Doing Quality Reviews – Conduct daily independent QA reviews of investigator and Sanctions casework, including Transaction Monitoring, Name Screening, EDD, and other AML investigations. Evaluate accuracy, completeness, adherence to AML/CFT policies, regulatory requirements, internal procedures, and the quality of case narratives. Assess whether investigative decisions are well-supported, risk-based, and appropriately documented, including escalation and disposition outcomes. Identify defects, document findings, and provide clear, constructive feedback to investigators and team leads. Stakeholder Collaboration – Partner closely with the Financial Crimes Operations team, Team Leads, Product teams, and other stakeholders to communicate QA findings, discuss quality trends, resolve process gaps, and ensure consistent interpretation of policies and quality standards. Build strong relationships across AML and other cross-functional teams to support a holistic approach to compliance and risk management. Quality Calibration & Internal QA Meetings – Participate in and facilitate regular QA calibration sessions to review complex or borderline cases, discuss grey areas, align on scoring methodology, and ensure consistency in quality evaluations across the QA team. Share key findings, emerging typologies, regulatory expectations, and best practices to improve review quality and reduce subjectivity. Performance Monitoring & Reporting – Monitor investigator quality performance, analyze QA findings and recurring error trends, and prepare regular quality reports and dashboards. Identify systemic issues, emerging risks, root causes, and opportunities to strengthen controls and support management decision-making. Coaching & Quality Improvement – Provide timely and actionable feedback to investigators and team leads to improve investigation quality, strengthen analytical skills, and enhance case documentation. Act as a Subject Matter Expert (SME) for AML investigations by providing guidance on complex or high-risk cases, typologies, and regulatory expectations. Support remediation activities by validating corrective actions and tracking quality improvements over time. Policy & Process Compliance – Ensure all reviews are conducted in accordance with internal AML/CFT policies, regulatory requirements, quality frameworks, and standard operating procedures. Escalate potential compliance risks, control weaknesses, or systemic issues identified during QA reviews. Continuous Improvement & QA Framework – Support continuous improvement by recommending enhancements to investigation procedures, QA methodologies, workflows, scorecards, sampling frameworks, training materials, and quality controls. Contribute to AI-enabled quality tools such as QA Copilot and participate in UAT, process validation, and implementation of new quality initiatives. AML Projects & Program Enhancements – Participate in AML-related projects, initiatives, and program enhancements as required. Provide QA expertise and support cross-functional initiatives aimed at strengthening AML controls, processes, and overall program effectiveness. Ad Hoc Responsibilities – Perform additional assignments and special projects as delegated by the supervisor, including process improvement initiatives, training support, root cause analysis, documentation updates, and cross-functional projects to strengthen the overall quality program. What We Look For In You Bachelor's degree in law, finance, business administration or a related field; a relevant compliance certification (e.g. ICA, CAMS) is an advantage 5-7 years of experience in a compliance, legal or regulatory role within financial services, fintech is required Prior experience in the cryptocurrency or digital asset industry is highly preferred, including familiarity with blockchain analytics tools (e.g. Chainalysis, Elliptic, TRM Labs) and crypto-specific financial crime typologies Strong understanding of AML/CFT regulations, financial crime investigations, transaction monitoring, and QA methodologies, with the ability to evaluate investigation quality, assess decision-making, and ensure compliance with regulatory requirements, internal policies, and quality standards Strong analytical ability, with the capacity to assess regulatory obligations, identify gaps and produce well-reasoned written analysis High attention to detail and the ability to maintain accurate records and produce consistent, high-quality documentation Fluent in English with clear written and verbal communication skills, including the ability to convey compliance requirements to non-specialist colleagues Perks & Benefits Competitive total compensation package L&D programs and Education subsidy for employees' growth and development Various team building programs and company events Wellness and meal allowances Comprehensive healthcare schemes for employees and dependants More that we love to tell you along the process! Notice: All official OKX vacancies are published on this website. While roles may appear on selected third-party platforms from time to time, information on other sites may be inaccurate or outdated. If in doubt, please apply directly through our official careers website. Information collected and processed as part of the recruitment process of any job application you choose to submit is subject to OKX 's Candidate Privacy Notice .

Location: New York, NY Workplace: Hybrid ABOUT THE COMPANY Rain makes the next generation of payments possible across the globe. We’re a lean and mighty team of passionate builders and veteran founders. Our infrastructure makes stablecoins usable in the real-world by powering card transactions, cross-border payments, B2B purchases, remittances, and more. We partner with fintechs, neobanks, and institutions to help them launch solutions that are global, inclusive, and efficient. You will have the opportunity to deliver massive impact at a hypergrowth company that is funded by some of the top investors in fintech, crypto, and SaaS, including Sapphire Ventures, Norwest, Galaxy Ventures, Lightspeed, Khosla, and several more. If you’re curious, bold, and excited to help shape a borderless financial future, we’d love to talk. OUR ETHOS We believe in an open and flat structure. You will be able to grow into the role that most aligns with your goals. Our team members at all levels have the freedom to explore ideas and impact the roadmap and vision of our company. THE ROLE We're hiring a Product Compliance Manager to make sure every product Rain ships is compliant by design. You'll sit between Product, Engineering, Legal and Compliance, turning regulations and card network rules into clear product requirements before code is written, not after launch. Rain moves fast: partners go live in weeks, and new products like embedded wallets, credit and prepaid programs, and agent-issued virtual cards keep coming. You'll own the compliance review that lets that speed hold up with regulators, the networks, our bank partners and auditors. WHAT YOU'LL DO - Own product compliance reviews. Assess new products, features and partner programs end to end, from PRD to launch, and sign off on the compliance requirements each one needs. - Translate rules into requirements. Turn regulations and network rules into concrete specs, controls and acceptance criteria that Product and Engineering can build against. - Keep card programs network-compliant. Own adherence to Visa and Mastercard operating rules as a Principal Member, including program approvals, network registrations and periodic attestations. - Cover consumer protection. Apply Reg E, Reg Z, TILA, UDAAP, ECOA and state requirements to cardholder agreements, disclosures, fees, rewards and dispute flows. - Review partner programs. Assess partner use cases, marketing materials, cardholder terms and onboarding flows before launch, and monitor them after. - Partner with Financial Crimes. Make sure KYC/KYB, sanctions screening and transaction monitoring requirements are built into products such as wallets, payouts, onramps and offramps. - Track the landscape. Follow stablecoin, payments and money transmission developments in the US and abroad, including federal stablecoin rules and MiCA, and flag what changes our roadmap. - Build the program. Maintain product compliance policies, the review process, a product risk inventory and the evidence trail that bank partners, networks, regulators and auditors ask for. WHAT WE'RE LOOKING FOR - 5+ years in product compliance, regulatory compliance or a similar role at a fintech, card issuer, program manager, sponsor bank or payments company. - Hands-on knowledge of card issuing: Visa and/or Mastercard operating rules, prepaid and credit programs, and the issuer–processor–program manager model. - Working knowledge of US consumer financial regulation, including Reg E, Reg Z, UDAAP and state money transmission rules. - A track record of reviewing products before launch and writing requirements that engineers actually build from. - Sound judgment on risk: you know when to say "yes, if" and when to say no, and you can explain both. - Clear writing for very different readers, from an engineer's ticket to a bank partner's due diligence questionnaire. NICE TO HAVE, BUT NOT MANDATORY - Experience with stablecoins, digital assets or crypto-linked card programs. - Exposure to international regimes such as MiCA, UK FCA rules or APAC payments licensing. - Background at a Principal Member issuer or sponsor bank, including network audits or bank partner exams. - Familiarity with BSA/AML, OFAC and FinCEN requirements. - A JD or a certification such as CAMS or CRCM. - Comfort reading API docs and working inside tools like Linear, Jira or Notion. THINGS THAT ENABLE A FULFILLING, HEALTHY, AND HAPPY EXPERIENCE AT RAIN: - Unlimited time off 🌴 Unlimited vacation can be daunting, so we require Rainmakers to take at least 10 days off. - Flexible working ☕ We support a flexible workplace. If you feel comfortable at home, please work from home. If you’d like to work with others in an office, feel free to come in. We want everyone to be able to work in the environment in which they are their most confident and productive selves. New Rainmakers will receive a stipend to create a comfortable home environment. - Easy to access benefits 🧠For US Rainmakers, we offer comprehensive health, dental, and vision plans for you and your dependents, as well as a 100% company subsidized life insurance plan. - Retirement goals💡Plan for the future with confidence. We offer a 401(k) with a 4% company match. - Equity plan 📦 We offer every Rainmaker an equity option plan so we can all benefit from our success. - Rain Cards 🌧️ We want Rainmakers to be knowledgeable about our core products and services. To support this mission, we issue a card for our team to use for testing. - Health and Wellness 📚 High performance begins from within. Rainmakers are welcome to use their card for eligible health and wellness spending like gym memberships/fitness classes, massages, acupuncture - whatever recharges you! - Team summits ✨ Summits play an important role at Rain! Time spent together helps us get to know each other, strengthen our relationships, and build a common destiny. Expect team and company off-sites both domestically and internationally.

ZILO is looking for a Compliance Officer and MLRO to own SEC transfer agent compliance and act as designated AML officer for its US digital transfer agency including registration SAR filing and examination readiness.

Location: Salt Lake City, Utah, United States About the Role iCapital is seeking a Registered Funds Compliance Associate to support the compliance program for its registered fund platform. This role will focus on regulatory oversight, compliance testing, marketing review and advising business partners on matters arising under the Investment Company Act of 1940 and Investment Advisers Act of 1940. The ideal candidate has hands-on registered fund compliance experience and can independently manage key responsibilities while partnering effectively with Legal, Marketing, Fund Management, Investments, Finance, and Product. Responsibilities Support the administration and enhancement of compliance programs for registered investment companies, including interval and closed-end funds. Review registered fund filings, marketing materials, and client communications. Perform compliance monitoring and testing under Sec. 206(4)-7 and applicable requirements under the Advisers Act and Investment Company Act. Assist with regulatory risk assessments and updates to compliance policies and procedures. Assist with oversight of sub-advisers, administrators, custodians, transfer agents, distributors, and other key fund service providers. Support SEC examinations and regulatory inquiries, including document production and preparation of responses. Qualifications Bachelor's degree is required; JD, MBA, or other advanced degree is a plus 2–4 years of relevant compliance, legal, regulatory, audit, or financial services experience Strong knowledge of the Investment Company Act of 1940 and Rule 38a-1 Familiar with the Investment Advisers Act and adviser compliance requirements Experience with registered closed-end funds, interval funds, alternative investments, or private-market strategies is preferred Experience with compliance testing, SEC examinations, and/or service-provider oversight is preferred Strong analytical, organizational, written, and verbal communication skills Able to manage assigned compliance responsibilities, exercise sound judgment, and escalate potential issues appropriately Able to translate complex regulatory requirements into practical business guidance and effective compliance controls Benefits The base salary range for this role is $ 70,000 to $ 85,000.  iCapital offers a compensation package which includes salary, equity for all full-time employees, and an annual performance bonus. Employees also receive a comprehensive benefits package that includes an employer matched retirement plan, generously subsidized healthcare with 100% employer paid dental, vision, telemedicine, and virtual mental health counseling, parental leave, and unlimited paid time off (PTO). We believe the best ideas and innovation happen when we are together. Employees in this role will work in the office Monday-Thursday, with the flexibility to work remotely on Friday. For additional information on iCapital, please visit https://www.icapitalnetwork.com/about-us X: @icapitalnetwork | LinkedIn: https://www.linkedin.com/company/icapital-network-inc | Awards Disclaimer: https://www.icapitalnetwork.com/about-us/recognition/ iCapital is proud to be an Equal Employment Opportunity and Affirmative Action employer. We do not discriminate based upon race, religion, color, national origin, gender, sexual orientation, gender identity, age, status as a protected veteran, status as an individual with a disability, or other applicable legally protected characteristics.

Location: New York, New York, United States About the Role iCapital is seeking a Registered Funds Compliance Associate to support the compliance program for its registered fund platform. This role will focus on regulatory oversight, compliance testing, marketing review and advising business partners on matters arising under the Investment Company Act of 1940 and Investment Advisers Act of 1940. The ideal candidate has hands-on registered fund compliance experience and can independently manage key responsibilities while partnering effectively with Legal, Marketing, Fund Management, Investments, Finance, and Product. Responsibilities Support the administration and enhancement of compliance programs for registered investment companies, including interval and closed-end funds. Review registered fund filings, marketing materials, and client communications. Perform compliance monitoring and testing under Sec. 206(4)-7 and applicable requirements under the Advisers Act and Investment Company Act. Assist with regulatory risk assessments and updates to compliance policies and procedures. Assist with oversight of sub-advisers, administrators, custodians, transfer agents, distributors, and other key fund service providers. Support SEC examinations and regulatory inquiries, including document production and preparation of responses. Qualifications Bachelor's degree is required; JD, MBA, or other advanced degree is a plus 2–4 years of relevant compliance, legal, regulatory, audit, or financial services experience Strong knowledge of the Investment Company Act of 1940 and Rule 38a-1 Familiar with the Investment Advisers Act and adviser compliance requirements Experience with registered closed-end funds, interval funds, alternative investments, or private-market strategies is preferred Experience with compliance testing, SEC examinations, and/or service-provider oversight is preferred Strong analytical, organizational, written, and verbal communication skills Able to manage assigned compliance responsibilities, exercise sound judgment, and escalate potential issues appropriately Able to translate complex regulatory requirements into practical business guidance and effective compliance controls Benefits The base salary range for this role is $ 90,000 to $ 115,000.  iCapital offers a compensation package which includes salary, equity for all full-time employees, and an annual performance bonus. Employees also receive a comprehensive benefits package that includes an employer matched retirement plan, generously subsidized healthcare with 100% employer paid dental, vision, telemedicine, and virtual mental health counseling, parental leave, and unlimited paid time off (PTO). We believe the best ideas and innovation happen when we are together. Employees in this role will work in the office Monday-Thursday, with the flexibility to work remotely on Friday. For additional information on iCapital, please visit https://www.icapitalnetwork.com/about-us X: @icapitalnetwork | LinkedIn: https://www.linkedin.com/company/icapital-network-inc | Awards Disclaimer: https://www.icapitalnetwork.com/about-us/recognition/ iCapital is proud to be an Equal Employment Opportunity and Affirmative Action employer. We do not discriminate based upon race, religion, color, national origin, gender, sexual orientation, gender identity, age, status as a protected veteran, status as an individual with a disability, or other applicable legally protected characteristics.

Location: Greenwich, Connecticut, United States About the Role iCapital is seeking a Registered Funds Compliance Associate to support the compliance program for its registered fund platform. This role will focus on regulatory oversight, compliance testing, marketing review and advising business partners on matters arising under the Investment Company Act of 1940 and Investment Advisers Act of 1940. The ideal candidate has hands-on registered fund compliance experience and can independently manage key responsibilities while partnering effectively with Legal, Marketing, Fund Management, Investments, Finance, and Product. Responsibilities Support the administration and enhancement of compliance programs for registered investment companies, including interval and closed-end funds. Review registered fund filings, marketing materials, and client communications. Perform compliance monitoring and testing under Sec. 206(4)-7 and applicable requirements under the Advisers Act and Investment Company Act. Assist with regulatory risk assessments and updates to compliance policies and procedures. Assist with oversight of sub-advisers, administrators, custodians, transfer agents, distributors, and other key fund service providers. Support SEC examinations and regulatory inquiries, including document production and preparation of responses. Qualifications Bachelor's degree is required; JD, MBA, or other advanced degree is a plus 2–4 years of relevant compliance, legal, regulatory, audit, or financial services experience Strong knowledge of the Investment Company Act of 1940 and Rule 38a-1 Familiar with the Investment Advisers Act and adviser compliance requirements Experience with registered closed-end funds, interval funds, alternative investments, or private-market strategies is preferred Experience with compliance testing, SEC examinations, and/or service-provider oversight is preferred Strong analytical, organizational, written, and verbal communication skills Able to manage assigned compliance responsibilities, exercise sound judgment, and escalate potential issues appropriately Able to translate complex regulatory requirements into practical business guidance and effective compliance controls Benefits The base salary range for this role is $ 90,000 to $ 115,000.  iCapital offers a compensation package which includes salary, equity for all full-time employees, and an annual performance bonus. Employees also receive a comprehensive benefits package that includes an employer matched retirement plan, generously subsidized healthcare with 100% employer paid dental, vision, telemedicine, and virtual mental health counseling, parental leave, and unlimited paid time off (PTO). We believe the best ideas and innovation happen when we are together. Employees in this role will work in the office Monday-Thursday, with the flexibility to work remotely on Friday. For additional information on iCapital, please visit https://www.icapitalnetwork.com/about-us X: @icapitalnetwork | LinkedIn: https://www.linkedin.com/company/icapital-network-inc | Awards Disclaimer: https://www.icapitalnetwork.com/about-us/recognition/ iCapital is proud to be an Equal Employment Opportunity and Affirmative Action employer. We do not discriminate based upon race, religion, color, national origin, gender, sexual orientation, gender identity, age, status as a protected veteran, status as an individual with a disability, or other applicable legally protected characteristics.

Location: Greenwich, Connecticut, United States About the Role iCapital is seeking a Registered Funds Compliance Assistant Vice President to support the compliance program for its registered fund platform. The role will focus on marketing review, regulatory oversight, compliance testing, and advising business partners on matters arising under the Investment Company Act of 1940 and Investment Advisers Act of 1940. The ideal candidate has hands-on registered fund compliance experience and can independently manage key responsibilities while partnering effectively with Legal, Marketing, Fund Management, Investments, Finance, and Product. Responsibilities Support the administration and enhancement of compliance programs for registered investment companies, including interval and closed-end funds. Review registered fund filings, marketing materials, and client communications. Perform compliance monitoring and testing under Sec. 206(4)-7 and applicable requirements under the Advisers Act and Investment Company Act. Monitor compliance matters involving valuation, liquidity, affiliated transactions, custody, allocations, fees and expenses, and conflicts of interest. Assist with regulatory risk assessments and updates to compliance policies and procedures. Prepare compliance reporting, testing results, regulatory updates, and other materials for fund boards and CCOs. Assist with oversight of sub-advisers, administrators, custodians, transfer agents, distributors, and other key fund service providers. Support SEC examinations and regulatory inquiries, including document production and preparation of responses. Monitor regulatory developments and help implement associated policies, controls, testing, and business guidance. Qualifications Bachelor's degree is required; JD, MBA, or other advanced degree is a plus 5–8 years of relevant compliance, legal, regulatory, audit, or registered fund experience Strong knowledge of the Investment Company Act of 1940 and Rule 38a-1 Familiar with the Investment Advisers Act and adviser compliance requirements Experience with registered closed-end funds, interval funds, alternative investments, or private-market strategies is preferred Experience with compliance testing, fund board reporting, SEC examinations, and/or service-provider oversight is preferred Strong analytical, organizational, written, and verbal communication skills Able to independently manage compliance responsibilities, exercise sound judgment, and escalate significant issues appropriately Able to translate complex regulatory requirements into practical business guidance and effective compliance controls Benefits The base salary range for this role is $110,000 to $145,000.  iCapital offers a compensation package which includes salary, equity for all full-time employees, and an annual performance bonus. Employees also receive a comprehensive benefits package that includes an employer matched retirement plan, generously subsidized healthcare with 100% employer paid dental, vision, telemedicine, and virtual mental health counseling, parental leave, and unlimited paid time off (PTO). We believe the best ideas and innovation happen when we are together. Employees in this role will work in the office Monday-Thursday, with the flexibility to work remotely on Friday. For additional information on iCapital, please visit https://www.icapitalnetwork.com/about-us X: @icapitalnetwork | LinkedIn: https://www.linkedin.com/company/icapital-network-inc | Awards Disclaimer: https://www.icapitalnetwork.com/about-us/recognition/ iCapital is proud to be an Equal Employment Opportunity and Affirmative Action employer. We do not discriminate based upon race, religion, color, national origin, gender, sexual orientation, gender identity, age, status as a protected veteran, status as an individual with a disability, or other applicable legally protected characteristics.

Location: New York, New York, United States About the Role iCapital is looking for a Regulatory Reporting Associate to join the Regulatory and Compliance team. This individual will work closely with the Vice President of Regulatory Reporting and the Co-Chief Compliance Officers on a variety of compliance matters, most specifically those pertaining to regulatory reporting. Responsibilities · Liaise with relevant business teams to collect and aggregate data and prepare for submission various U.S. and international regulatory filings including, Form ADV, Form PF, BE-185, Form SLT, Form 45-106F1, and Regulation D and blue-sky filings. · Develop, update, and implement procedures, as needed, to ensure robust processes for regulatory filings. · Monitor and analyze industry-wide compliance initiatives and federal, state, and non-U.S. regulatory developments to determine how such developments may impact iCapital’s activities and reporting requirements, as well as discuss such changes with senior management. · Inform senior management of any material regulatory or operational changes. · Collaborate with internal and external stakeholders to improve data quality, processes, operational readiness, scalability, and efficiency. · Assist with ad-hoc compliance-related matters. Qualifications · 2-5 years of registered investment adviser experience, preferably in preparing regulatory filings · Experience with alternative investments and understanding of compliance restrictions around private placements, including SEC filings for private funds · Comfortable leading discussions and initiatives with senior internal and external stakeholders · Able to manage multiple deadlines and projects · Organized and detailed oriented with big picture capability · Strong interpersonal and leadership skills · Willingness to learn new topics and work in an evolving business environment · Proficiency in Microsoft Excel and Microsoft Word and an aptitude to quickly pick up additional technologies Benefits The base salary range for this role is $ 70,000 to $ 95,000. iCapital offers a compensation package which includes salary, equity for all full-time employees, and an annual performance bonus. Employees also receive a comprehensive benefits package that includes an employer matched retirement plan, generously subsidized healthcare with 100% employer paid dental, vision, telemedicine, and virtual mental health counseling, parental leave, and unlimited paid time off (PTO). We believe the best ideas and innovation happen when we are together. Employees in this role will work in the office Monday-Thursday, with the flexibility to work remotely on Friday. For additional information on iCapital, please visit https://www.icapitalnetwork.com/about-us Twitter: @icapitalnetwork | LinkedIn: https://www.linkedin.com/company/icapital-network-inc | Awards Disclaimer: https://www.icapitalnetwork.com/about-us/recognition/ iCapital is proud to be an Equal Employment Opportunity and Affirmative Action employer. We do not discriminate based upon race, religion, color, national origin, gender, sexual orientation, gender identity, age, status as a protected veteran, status as an individual with a disability, or other applicable legally protected characteristics.

Location: Salt Lake City, Utah, United States About the Role iCapital is seeking an ERISA Compliance Assistant Vice President to support its compliance program relating to the Employee Retirement Income Security Act of 1974 (ERISA), Department of Labor regulations, prohibited transaction exemptions, and Qualified Professional Asset Manager (QPAM) requirements. This role will support ERISA-related regulatory obligations affecting iCapital's registered investment advisers, collective investment trusts, retirement-focused investment products, and retirement-plan clients. The ideal candidate has hands-on ERISA or retirement compliance experience and can independently manage defined compliance workstreams while partnering effectively with Legal, Product, Fund Finance, Investment Management, Distribution, and senior Compliance personnel. Responsibilities Support the development, maintenance, and enhancement of ERISA compliance policies, procedures, controls, and monitoring programs in coordination with senior Compliance personnel and the Registered Funds CCO. Provide practical guidance regarding ERISA fiduciary duties, plan-asset rules, prohibited transactions, party-in-interest restrictions, and applicable exemptions. Support the firm’s ongoing compliance with the QPAM Exemption and related prohibited transaction exemption requirements. Administer QPAM monitoring and testing, including annual and periodic certifications. Coordinate reviews of QPAM eligibility criteria, including assets under management, shareholder equity, affiliate requirements, guarantees, and integrity standards. Maintain documentation evidencing compliance with QPAM conditions and regulatory requirements. Assess ERISA implications of investment products, distribution activities, service arrangements, transactions, and operational processes. Execute risk-based compliance reviews, monitoring, testing, certifications, and issue-management processes relating to ERISA and retirement-plan activities. Monitor developments from the Department of Labor, IRS, SEC, and other regulatory authorities and help implement required policy, control, and business changes. Qualifications Bachelor's degree is required; J.D., MBA, or other advanced degree is a plus 5–8+ years of relevant experience in investment adviser, asset management, retirement, ERISA, legal, regulatory, or compliance functions Strong working knowledge of ERISA fiduciary standards, plan-asset rules, prohibited transaction requirements, and Department of Labor regulations Experience with QPAM compliance, prohibited transaction exemptions, or retirement-focused investment products is preferred Familiar with collective investment trusts, private funds, alternative investments, or institutional asset management is preferred Experience executing compliance monitoring, testing, certifications, issue management, or regulatory examination support Strong analytical, organizational, written, and verbal communication skills Able to independently manage assigned responsibilities, exercise sound judgment, and escalate significant issues appropriately Able to translate complex regulatory requirements into practical business guidance and effective compliance controls Benefits The base salary range for this role is $90,000 to $115,000.  iCapital offers a compensation package which includes salary, equity for all full-time employees, and an annual performance bonus. Employees also receive a comprehensive benefits package that includes an employer matched retirement plan, generously subsidized healthcare with 100% employer paid dental, vision, telemedicine, and virtual mental health counseling, parental leave, and unlimited paid time off (PTO). We believe the best ideas and innovation happen when we are together. Employees in this role will work in the office Monday-Thursday, with the flexibility to work remotely on Friday. For additional information on iCapital, please visit https://www.icapitalnetwork.com/about-us X: @icapitalnetwork | LinkedIn: https://www.linkedin.com/company/icapital-network-inc | Awards Disclaimer: https://www.icapitalnetwork.com/about-us/recognition/ iCapital is proud to be an Equal Employment Opportunity and Affirmative Action employer. We do not discriminate based upon race, religion, color, national origin, gender, sexual orientation, gender identity, age, status as a protected veteran, status as an individual with a disability, or other applicable legally protected characteristics.

Location: Greenwich, Connecticut, United States About the Role iCapital is seeking an ERISA Compliance Assistant Vice President to support its compliance program relating to the Employee Retirement Income Security Act of 1974 (ERISA), Department of Labor regulations, prohibited transaction exemptions, and Qualified Professional Asset Manager (QPAM) requirements. This role will support ERISA-related regulatory obligations affecting iCapital's registered investment advisers, collective investment trusts, retirement-focused investment products, and retirement-plan clients. The ideal candidate has hands-on ERISA or retirement compliance experience and can independently manage defined compliance workstreams while partnering effectively with Legal, Product, Fund Finance, Investment Management, Distribution, and senior Compliance personnel. Responsibilities Support the development, maintenance, and enhancement of ERISA compliance policies, procedures, controls, and monitoring programs in coordination with senior Compliance personnel and the Registered Funds CCO. Provide practical guidance regarding ERISA fiduciary duties, plan-asset rules, prohibited transactions, party-in-interest restrictions, and applicable exemptions. Support the firm’s ongoing compliance with the QPAM Exemption and related prohibited transaction exemption requirements. Administer QPAM monitoring and testing, including annual and periodic certifications. Coordinate reviews of QPAM eligibility criteria, including assets under management, shareholder equity, affiliate requirements, guarantees, and integrity standards. Maintain documentation evidencing compliance with QPAM conditions and regulatory requirements. Assess ERISA implications of investment products, distribution activities, service arrangements, transactions, and operational processes. Execute risk-based compliance reviews, monitoring, testing, certifications, and issue-management processes relating to ERISA and retirement-plan activities. Monitor developments from the Department of Labor, IRS, SEC, and other regulatory authorities and help implement required policy, control, and business changes. Qualifications Bachelor's degree is required; J.D., MBA, or other advanced degree is a plus 5–8+ years of relevant experience in investment adviser, asset management, retirement, ERISA, legal, regulatory, or compliance functions Strong working knowledge of ERISA fiduciary standards, plan-asset rules, prohibited transaction requirements, and Department of Labor regulations Experience with QPAM compliance, prohibited transaction exemptions, or retirement-focused investment products is preferred Familiar with collective investment trusts, private funds, alternative investments, or institutional asset management is preferred Experience executing compliance monitoring, testing, certifications, issue management, or regulatory examination support Strong analytical, organizational, written, and verbal communication skills Able to independently manage assigned responsibilities, exercise sound judgment, and escalate significant issues appropriately Able to translate complex regulatory requirements into practical business guidance and effective compliance controls Benefits The base salary range for this role is $110,000 to $145,000.  iCapital offers a compensation package which includes salary, equity for all full-time employees, and an annual performance bonus. Employees also receive a comprehensive benefits package that includes an employer matched retirement plan, generously subsidized healthcare with 100% employer paid dental, vision, telemedicine, and virtual mental health counseling, parental leave, and unlimited paid time off (PTO). We believe the best ideas and innovation happen when we are together. Employees in this role will work in the office Monday-Thursday, with the flexibility to work remotely on Friday. For additional information on iCapital, please visit https://www.icapitalnetwork.com/about-us X: @icapitalnetwork | LinkedIn: https://www.linkedin.com/company/icapital-network-inc | Awards Disclaimer: https://www.icapitalnetwork.com/about-us/recognition/ iCapital is proud to be an Equal Employment Opportunity and Affirmative Action employer. We do not discriminate based upon race, religion, color, national origin, gender, sexual orientation, gender identity, age, status as a protected veteran, status as an individual with a disability, or other applicable legally protected characteristics.