Compliance Lead Jobs

About AlphaSense: The world’s most sophisticated companies rely on AlphaSense to remove uncertainty from decision-making. With market intelligence and search built on proven AI, AlphaSense delivers insights that matter from content you can trust. Our universe of public and private content includes equity research, company filings, event transcripts, expert calls, news, trade journals, and clients’ own research content. The acquisition of Tegus by AlphaSense in 2024 advances our shared mission to empower professionals to make smarter decisions through AI-driven market intelligence. Together, AlphaSense and Tegus will accelerate growth, innovation, and content expansion, with complementary product and content capabilities that enable users to unearth even more comprehensive insights from thousands of content sets. Our platform is trusted by over 6,000 enterprise customers, including a majority of the S&P 500. Founded in 2011, AlphaSense is headquartered in New York City with more than 2,000 employees across the globe and offices in the U.S., U.K., Finland, India, Singapore, Canada, and Ireland. Come join us! About the Team: Tegus by AlphaSense facilitates extremely valuable calls between our clients and experts. Given the proprietary insights in these conversations, compliance is critical to our business, and a key component of our value add. The Compliance Team provides our clients with actionable insights while maintaining the highest legal and regulatory standards. About the Role: This role will be part of our growing India Compliance Review team, providing critical coverage across global time zones to help ensure 24x5 compliance review support for our U.S. and international operations. As a Compliance Analyst, you will play a crucial role in supporting our content generation while protecting our clients from potentially sensitive information. You will gain extensive knowledge of Tegus’ cutting edge compliance program to facilitate the review of exp

About AlphaSense: The world’s most sophisticated companies rely on AlphaSense to remove uncertainty from decision-making. With market intelligence and search built on proven AI, AlphaSense delivers insights that matter from content you can trust. Our universe of public and private content includes equity research, company filings, event transcripts, expert calls, news, trade journals, and clients’ own research content. The acquisition of Tegus by AlphaSense in 2024 advances our shared mission to empower professionals to make smarter decisions through AI-driven market intelligence. Together, AlphaSense and Tegus will accelerate growth, innovation, and content expansion, with complementary product and content capabilities that enable users to unearth even more comprehensive insights from thousands of content sets. Our platform is trusted by over 6,000 enterprise customers, including a majority of the S&P 500. Founded in 2011, AlphaSense is headquartered in New York City with more than 2,000 employees across the globe and offices in the U.S., U.K., Finland, India, Singapore, Canada, and Ireland. Come join us! About the Team: Tegus by AlphaSense facilitates extremely valuable calls between our clients and experts. Given the proprietary insights in these conversations, compliance is critical to our business, and a key component of our value add. The Compliance Team provides our clients with actionable insights while maintaining the highest legal and regulatory standards. About the Role: This role will be part of our growing India Compliance Review team, providing critical coverage across global time zones to help ensure 24x5 compliance review support for our U.S. and international operations. As a Compliance Analyst, you will play a crucial role in supporting our content generation while protecting our clients from potentially sensitive information. You will gain extensive knowledge of Tegus’ cutting edge compliance program to facilitate the review of exp

Our Local Programs and Regulatory Compliance team is responsible for ensuring compliance with local laws and regulations in the countries where we operate. Crypto.com | Derivatives North America (“CDNA”) presents a unique opportunity for a full time Analyst to join its Market Regulation team. CDNA is a U.S. derivatives exchange registered with and regulated by the CFTC as a contract market and clearing organization. CDNA currently offers fully-collateralized event contracts and will be offering traditional futures products in the near future. The Market Regulation Department is responsible for enforcing the Exchange’s rules through market advisories, investigations, trade surveillance, and disciplinary actions. In this position you will be responsible for detecting and investigating trading activity in derivatives markets to detect potential violations of Exchange rules and CFTC Regulations applicable to trading across multiple asset classes traded on CDNA markets, and provide guidance to market participants based on their dynamic needs. You must be professional, proactive, analytical, able to collaborate with others and create efficient, innovative approaches to gathering and analyzing data, and communicate clearly and concisely. Responsibilities Real-Time Market Monitoring Perform real-time monitoring of all exchange activity, security feeds, and product safety data to identify potential market abuse (wash trading, spoofing, etc.) and ensure price discovery is fair and not manipulated. Monitor real-time market data to ensure participant compliance with margin requirements and position limits. Utilize surveillance tools and dashboards to flag anomalies and escalate concerns. Trade Analysis & Investigation Conduct post-trade reviews and forensic analysis of flagged transactions. Conduct investigations of potential

Crypto.com | Derivatives North America (“CDNA”) presents a unique opportunity for a full time Analyst to join its Market Regulation team. CDNA is a U.S. derivatives exchange registered with and regulated by the CFTC as a contract market and clearing organization. CDNA currently offers fully-collateralized event contracts and will be offering traditional futures products in the near future. The Market Regulation Department is responsible for enforcing the Exchange’s rules through market advisories, investigations, trade surveillance, and disciplinary actions. In this position you will be responsible for detecting and investigating trading activity in derivatives markets to detect potential violations of Exchange rules and CFTC Regulations applicable to trading across multiple asset classes traded on CDNA markets, and provide guidance to market participants based on their dynamic needs. You must be professional, proactive, analytical, able to collaborate with others and create efficient, innovative approaches to gathering and analyzing data, and communicate clearly and concisely. Responsibilities Real-Time Market Monitoring Perform real-time monitoring of all exchange activity, security feeds, and product safety data to identify potential market abuse (wash trading, spoofing, etc.) and ensure price discovery is fair and not manipulated. Monitor real-time market data to ensure participant compliance with margin requirements and position limits. Utilize surveillance tools and dashboards to flag anomalies and escalate concerns. Trade Analysis & Investigation Conduct post-trade reviews and forensic analysis of flagged transactions. Conduct investigations of potential rule violations by obtaining testimony, compiling records and drafting investigative reports for presentation to the Chief Regulatory Officer.

About Ubiquiti At Ubiquiti Inc., we create technology platforms for Businesses, Smart Homes, and Internet Service Providers, driven by our goal to connect everyone, everywhere. To date, Ubiquiti has shipped over 100 million devices worldwide, from ISP networking products to next generation of IT solutions. Our growth is made possible by the dedicated team of hundreds behind the scenes. From software developers and product managers to designers and strategists, Team UI is driven to achieve our common goal: Rethinking IT. At Ubiquiti, you’ll heighten your potential and broaden your horizons - all while shaping the future of connectivity. Responsibilities - Ownership of worldwide regulatory Compliance certifications for Ubiquiti products. - Set out strategies for optimizing Compliance testing in a fast moving development environment. - Keep track of ongoing changes in worldwide EMI/EMC/ESD, RF emissions, safety and environmental Compliance matters. - Involvement in the design for Compliance in the early product design phases. - Work independently to perform EMC pre-compliance scans and ESD testing. - Work with third parties to coordinate EMI/EMC/ESD testing using test Labs in Taiwan, China, and USA - Compile and archive all certification documentation. - Analyze data and prepare reports. Must-haves : - 3-5 years as a Compliance engineer in a company environment. - Willingness to travel to test labs in Taiwan and if needed USA / China - Exceptional communication and organizational skills. - Self-Management Skills and work independently for tasks. - Ability to set up and run systems for RF and EMI testing. - Eperxience with RF such as BT, WiFi 2.4G/5G/6E/60G, Lora, WWAN..etc. - Experience Wifi and regional radio spectrum for public bands - Experience working with third parties to accomplish outsourced work. - Knowledge of cyber security testing Nice-to-haves: - Experience with the Inte

About Us SharkNinja is a global product design and technology company, with a diversified portfolio of 5-star rated lifestyle solutions that positively impact people’s lives in homes around the world. Powered by two trusted, global brands, Shark and Ninja , the company has a proven track record of bringing disruptive innovation to market and developing one consumer product after another has allowed SharkNinja to enter multiple product categories, driving significant growth and market share gains. Headquartered in Needham, Massachusetts with more than 4,100 associates, the company’s products are sold at key retailers, online and offline, and through distributors around the world. AI at SharkNinja At SharkNinja, we’re building an AI-native culture. We’re not waiting for the future; we’re creating it. Our people are expected to experiment boldly, adopt new tools, and continuously raise what’s possible to create meaningful impact for our consumers. If you believe the best way to do your job hasn’t been invented yet, you’ll fit right in. Product Safety & Compliance Engineer NPD Compliance – Household Appliances & Medical Devices The Product Safety & Compliance Engineer partners with global product development teams and external certification bodies (NRTLs and agency labs) to drive product safety compliance and certification from concept through mass production. The portfolio is primarily household appliances, with medical and wellness devices. This is a hands-on engineering role: you will influence product design early, own the certification path, and be the voice of compliance in the room — including when that means pushing back. What You'll Do Own certification and risk-analysis activities for multiple new product development projects simultaneously, from product concept through mass production. Translate complicated regulatory and standards requirements into simple, actionable design guidance for de

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 Some of the world's largest companies and their law firms use Harvey's AI capabilities to deliver world-class client services at unprecedented scale and efficiency. Harvey allows high-performing professionals to gain deep domain knowledge faster, understand the big picture, and tackle more complex challenges in less time. Our customers depend on us to deliver a secure, trustworthy, and compliant platform. Earning the trust of our customers is a business enabler and we value it more than anything else. In this role, you'll report to the Senior Compliance Manager and serve as a core executor on Harvey's certification and audit portfolio. You will be responsible for the hands-on compliance work that keeps our compliance programs healthy, maintaining control documentation,

Who we are At Twilio, we’re shaping the future of communications, all from the comfort of our homes. We deliver innovative solutions to hundreds of thousands of businesses and empower millions of developers worldwide to craft personalized customer experiences. Our dedication to remote-first work , and strong culture of connection and global inclusion means that no matter your location, you’re part of a vibrant team with diverse experiences making a global impact each day. As we continue to revolutionize how the world interacts, we’re acquiring new skills and experiences that make work feel truly rewarding. Your career at Twilio is in your hands. . Hiring and how we work We use Artificial Intelligence (AI) to help make our hiring process efficient. That said, every hiring decision is made by real Twilions! Also, while we are a remote-first company, you may be asked to report in person on an ad-hoc basis for team gatherings, functional off-sites or customer meetings. . See yourself at Twilio Join the team as Twilio’s next Compliance Operations Specialist 1 About the job At Twilio, our mission is to power the future of communications. We believe that communication should be at the heart of every product and customer experience. In this role you will be monitoring the use of Twilio products, voice, SMS and email, to ensure that the traffic on Twilio’s platform is legal, compliant, and wanted. To do this you will also ensure that all traffic is following Twilio’s Voice Policy, Messaging Policy, Acceptable Use policy and meets CTIA requirements. We are looking for someone that is passionate about preventing fraud and abuse. The ideal candidate has some experience in research and investigation skills and enjoys challenging and complex case work. Responsibilities In this role, you’ll: Investigate cases quickly and efficiently, perform analysis to understand bad actor behavior and demonstrate willingness to learn and become a subject matte

Overview: Guidepoint Athens is seeking a seasoned Compliance Officer to join its global Compliance Department. This skilled professional will assist in all aspects of Guidepoint’s compliance program which includes providing guidance to our business colleagues when dealing with complex compliance issues. This role reports to the EMEA Regional Compliance Officer in our London office. What You’ll Do: Deliver initial and ongoing training for client interfacing employees Provide timely and practical advice to sales and service teams on day-to-day compliance matters Manage verbal and written communications with prospective and existing clients Implement client-specific compliance protocols into our proprietary system Conduct compliance portal overviews to prospective and existing clients Collaborate with Technology teams to design and implement compliance-related controls and enhancements What You Have: Bachelor’s Degree required demonstrating a strong level of achievement Minimum of 5 years of compliance-related experience in financial services ( not KYC/AML) Proactive, self-motivated, comfortable operating in a fast-paced environment and with autonomy when required Experience using compliance search tools Excellent verbal and written communication skills in English Familiarity communicating with prospective and existing clients Exceptional analytical skills with attention to detail Knowledge of financial industry regulations and due diligence preferred What We Offer: Competitive compensation Private health insurance Entrepreneurial environment, autonomy, and efficient decision-making International exposure through collaboration with global Guidepoint teams Casual work environment and compelling people Seasonal team events and engagement activities About Guidepoint: Guidepoint powers end-to-end research workflows for the world’s best research teams. Backed by a global network of more than 2 million experts and over 1,600 employees, Guidepoint del

Job Description We are looking for a Compliance Officer to join our Legal & Compliance team. In this role, you will help support and maintain Vise’s compliance program, ensuring we meet our regulatory obligations while enabling our business to grow. You’ll report directly to the Chief Legal Officer (“CLO”) and collaborate closely with teams across the company, as well as the third-party compliance consultant that currently supports the CLO. This is a great opportunity for someone with a few years of investment adviser compliance experience in financial services or fintech who wants to take on meaningful responsibility in a fast-paced, mission-driven environment. This role is onsite in NYC, in our SoHo office. What you bring on day one: Bachelor’s Degree (finance, accounting, economics, legal preferred, but not required) 2–4 years of experience in a compliance role within the financial services or fintech industry Strong understanding of the Investment Advisers Act of 1940 and related SEC rules Familiarity with regulatory filings (Form ADV, Rule 13F Reports, etc.) Highly organized with strong attention to detail and documentation Excellent written and verbal communication skills Proactive, resourceful, and eager to learn Ability to work independently and in a fast-paced, collaborative environment Experience drafting and updating policies and procedures Familiarity with compliance tools and systems is a plus (e.g., Global Relay, ComplianceAlpha, etc.) What you will own: Assist in the execution and ongoing improvement of Vise’s compliance program, including monitoring, testing, and reporting activities Participate in the annual and as-needed updating of Vise’s Compliance Manual and Code of Ethics, among other documents Conduct reviews of the firm’s employees’ electronic communications and Code of Ethics reporting Perform ongoing compliance monitoring and testing across key regulatory areas (e.g., marketing rule, best execution, conflicts, fees and billing, informat

Since we opened our doors in 2009, the world of commerce has evolved immensely, and so has Square. After enabling anyone to take payments and never miss a sale, we saw sellers stymied by disparate, outmoded products and tools that wouldn’t work together. So we expanded into software and started building integrated, omnichannel solutions – to help sellers sell online, manage inventory, offer buy now, pay later functionality, book appointments, engage loyal buyers, and hire and pay staff. Across it all, we’ve embedded financial services tools at the point of sale, so merchants can access a business loan and manage their cash flow in one place. Afterpay furthers our goal to provide omnichannel tools that unlock meaningful value and growth, enabling sellers to capture the next generation shopper, increase order sizes, and compete at a larger scale. Today, we are a partner to sellers of all sizes – large, enterprise-scale businesses with complex operations, sellers just starting, as well as merchants who began selling with Square and have grown larger over time. As our sellers grow, so do our solutions. There is a massive opportunity in front of us. We’re building a significant, meaningful, and lasting business, and we are helping sellers worldwide do the same. The Role The mission of the Compliance Operations team at Square Japan is to perform the day-to-day operational activities associated with regulatory, payment network, and partnership requirements. The team is responsible for monitoring and investigating potential compliance concerns, including anti-money laundering (AML), sanctions, fraud, prohibited business activity, and violations of Square's Merchant User Agreement. The Compliance Analyst will conduct investigations, perform merchant transaction monitoring reviews, support compliance monitoring programs, and collaborate with internal and external stakeholders to ensure compliance with applicable Japanese laws, regulations, payment network requirements, and co

Head of Compliance, Hong Kong

About the Role We are seeking a detail-oriented, proactive and motivated Associate to join our Compliance Reporting team. The successful candidate will play a key role in supporting AQR’s Compliance department by preparing well-written, timely, and accurate responses to Requests for Proposals (RFPs), Due Diligence Questionnaires (DDQs), and ad-hoc client information requests from clients and prospects. Key Responsibilities Draft and submit responses to RFPs, DDQs and ad-hoc requests covering multiple investment strategies and products. Maintain and update standard responses in the firm’s centralized content library. Coordinate with internal teams, including Compliance, Legal, Business Development, Risk and others to source and verify proposed responses to client questions. Track and manage a high volume of requests simultaneously, ensuring deadlines are met, completed responses are properly maintained, and quality standards are upheld. Qualifications Bachelor’s degree required. Two to four years of related experience in RFP/DDQ reporting [or other Compliance experience], ideally within financial services or investment management. Exceptional writing, editing, and project management skills, with strong attention to detail. Highly organized, with excellent time management abilities and the ability to prioritize and meet multiple deadlines while managing a high volume of communications. Demonstrated capacity to work independently as well as thrive within a collaborative, fast-paced team environment. Strong interpersonal and communication skills with the ability to work well with others across functions. A self-starter who takes ownership of responsibilities and sees tasks through to completion. Receptive to feedback and responsive to direction, with a commitment to continuous improvement. Prior experience with Responsive (formerly RFPIO) preferred but not required.

Who we are About Stripe Stripe is a financial infrastructure platform for businesses. Millions of companies — from the world’s largest enterprises to the most ambitious startups — use Stripe to accept payments, grow their revenue, and accelerate new business opportunities. Our mission is to increase the GDP of the internet, and we have a staggering amount of work ahead. That means you have an unprecedented opportunity to put the global economy within everyone's reach while doing the most important work of your career. About the team Stripe's Financial Crimes, Compliance and Risk Oversight (FinCRO) organisation serves as Stripe's second line of defense, ensuring we operate as a responsible steward of the global financial ecosystem. You will join the Product and User Enablement (ProUse) team within FinCRO, acting as a trusted compliance advisor to our first line business teams (e.g., GTM, Risk, Ops) to help scale business and grow our user base globally. What you’ll do We are looking for an experienced compliance advisor who is fluent in both compliance regulations and commercial reality. You will not just be a specialized advisor, but a strategic partner responsible for scaling our business by embedding compliance intelligence directly into our technical infrastructure to support our users. You will be the bridge between Stripe’s compliance obligations and our users' ambitious goals, moving away from manual, person-dependent models toward a dynamic, agentic structure. You will provide expert guidance for our complex user challenges to actively shape them. You will partner closely with cross-functional stakeholders to design user solutions that both support users' growing journey with Stripe and satisfy compliance rigor. Stripe is both a technology company and a financial services company. You will need to be comfortable straddling those worlds every day, moving quickly in the face of ambiguity to help scale our business globally. Responsibilities: You will be a

The Compliance Officer is responsible for overseeing and implementing the compliance monitoring plan of the company. Key responsibilities include deploying the plan throughout the calendar year, ensuring adherence to various MiFID requirements, and dedicating 90% of their time to monitoring activities. The Compliance Officer works closely with the company to ensure adherence to all relevant regulations and standards. This role is subject to PQ approval by the MFSA . We are open to candidates who have already gone through this process, as well as to those who haven’t yet, but meet the formal criteria and are open to going through it with our support. WHAT YOU'LL BE DOING: Implement and manage the compliance monitoring plan of the company Deploy the compliance monitoring plan throughout the calendar year Ensure compliance with various MiFID requirements and regulations Monitor activities related to compliance, which will constitute 90% of the job role Work closely with stakeholders across the organization to ensure alignment with compliance standards Maintain up-to-date knowledge of regulatory changes and communicate any updates to relevant parties Prepare and present compliance reports to management on a regular basis Collaborate with internal teams to address any compliance issues or concerns Conduct regular audits and assessments to identify and address compliance risks Provide training and guidance to employees on compliance matters as needed WHAT WE LOOK FOR IN YOU: Bachelor's degree in Business Administration, Finance, Law, or related field Previous experience in a compliance or regulatory role, preferably within the financial services industry Strong understanding of MiFID requirements and regulations Excellent analytical and problem-solving skills Ability to work independently and prioritize tasks effectively Strong communication and interpersonal skills Detail-oriented with a high level of accuracy Certification in Compliance or related fields is a plus WHY S