Compliance Operations Specialist 1 Jobs

WHAT IS BOX? Box (NYSE:BOX) is the leader in Intelligent Content Management. Our platform enables organizations to fuel collaboration, manage the entire content lifecycle, secure critical content, and transform business workflows with enterprise AI. We help companies thrive in the new AI-first era of business. Founded in 2005, Box simplifies work for leading global organizations, including JLL, Morgan Stanley, and Nationwide. Box is headquartered in Redwood City, CA, with offices across the United States, Europe, and Asia. By joining Box, you will have the unique opportunity to continue driving our platform forward. Content powers how we work. It’s the billions of files and information flowing across teams, departments, and key business processes every single day: contracts, invoices, employee records, financials, product specs, marketing assets, and more. Our mission is to bring intelligence to the world of content management and empower our customers to completely transform workflows across their organizations. With the combination of AI and enterprise content, the opportunity has never been greater to transform how the world works together and at Box you will be on the front lines of this massive shift. WHY BOX NEEDS YOU We are looking for an experienced and driven Compliance manager who is looking to put their auditing experience, technical expertise, and information security knowledge to plan, execute and deliver on existing and strategic new Compliance certifications focused on International Organization for Standardizations (ISO). As our Compliance manager, you will play a key role to build a scalable and efficient program and process related to the Artificial Intelligence Management Systems (AIMS) (ISO 42001) and AI governance within Box. You will work with all functions of this fast-paced, rapidly changing business, and directly with key stakeholders to drive continuous improvement, communication and education with Box's internal customer

A Career with Point72's Compliance Team The Point72 Compliance department is an industry-leading team of compliance professionals who support global investment and trading activities by establishing and enforcing the firm’s compliance policies, providing real-time advice, and conducting pre- and post-trade surveillance. Our team is essential to Point72’s success and we provide mentorship, a growth path, and the opportunity for a long-term career with us. What you'll do Monitor compliance restriction alerts and partner with the broader Compliance team to investigate, escalate, and resolve potential issues Investigate trading exceptions, prepare concise findings, develop recommendations, and escalate to senior members of Compliance Manage compliance-related security master data by maintaining accurate mappings, validating underlying information, and resolving issues adversely affecting trading compliance reports Partner with, among other functions, Technology to implement automated controls, reports, and dashboards that improve visibility and reduce manual intervention Track open technology issues and compliance projects to support timely resolution Analyze compliance reports to identify data issues and improve related processes Support artificial intelligence integration to enhance compliance monitoring tools Assist with real-time compliance coverage for trade approvals and time-sensitive trading matters What's required One to three years of compliance experience within an investment manager, hedge fund, or broker-dealer Basic understanding of multiple asset classes Experience analyzing data and producing clear written summaries, escalation materials, and remediation plans Project management experience with the ability to manage multiple projects simultaneously Experience partnering successfully with cross-functional colleagues Excellent verbal and written communication skills, with the ability to explain technical compliance topics clearly Commitment to the highest

Our Local Programs and Regulatory Compliance team is responsible for ensuring compliance with local laws and regulations in the countries where we operate. Financial crime moves fast — our AML program needs to move faster. As AML Manager on our Local Programs and Regulatory Compliance team, you'll lead the frontline defense against money laundering and fraud, building the monitoring programs, policies, and controls that keep our firm — and the broader financial system — safe. You'll work shoulder-to-shoulder with legal, compliance, and technology teams, and act as a trusted voice with regulators like FINRA, SEC, and FinCEN. Responsibilities: You will lead an AML program to monitor transactions and customer activities for signs of money laundering, fraudulent activity, and file suspicious activity reports (SARs); You will create policies and procedures and workflow tools to enhance the monitoring, detection, reporting and prevention of money laundering activity. You will design and build monitoring scenarios and support model validation programs; Acting as an AMLCO, you will monitor industry trends and ensure compliance with all relevant BSA/AML and securities laws, including guidance and red flags issued by FINRA, SEC, and FinCEN; You will develop and maintain policies and procedures regarding the Firm's AML, SARs, and KYC programs, and Senior Management reporting; As part of the Compliance team, you will support risk assessments and regular testing to access the effectiveness of the firm’s policies and associated controls; You will collaborate across the legal, compliance and other corporate functions to assist in the development and rollout of leading compliance related technologies, controls, and processes; You will engage in a variety of firmwide compliance issues and interact with Senior Legal and Compliance professionals and regulators; You will engage in industry wide i

Experience: 4-5 Years Salary: 35,000 40,000 per month Employment Type: Full-time Location: Delhi, India Key Responsibilities Labour Law Compliance Ensure timely and accurate compliance under applicable labour laws, including PF, ESI, Minimum Wages, Bonus, Gratuity, CLRA, Shops & Establishment, Factory Act and other applicable laws. Compliance Monitoring Monitor client-wise compliance status, identify gaps and ensure timely closure of pending compliances. Registers & Records Ensure proper maintenance and verification of statutory registers, records, notices and documents. Contract Labour Compliance Monitor contractor registrations, licences, wage payments, attendance, statutory contributions and other contractor compliances. Compliance Visits & Audits Conduct compliance visits/audits, identify non-compliances and provide corrective action recommendations. Statutory Returns & Filings Ensure timely preparation and filing of applicable statutory returns, forms, challans and other submissions. Risk Identification Proactively identify potential labour law risks and escalate critical non-compliances for timely corrective action. Key Skills Labour Law Compliance Statutory Compliance PF & ESI Compliance Minimum Wages Compliance Bonus & Gratuity Compliance CLRA Compliance Shops & Establishment Act Compliance Factories Act Compliance Contract Labour Compliance Contractor Compliance Management Statutory Registers & Records Statutory Returns & Filings Compliance Audits & Inspections Compliance Monitoring Compliance Gap Analysis Risk Identification & Assessment Non-Compliance Identification Corrective Action & Closure Statutory Documentation Challan & Form Verification Wage & Attendance Compliance Labour Compliance Reporting Client Compliance Management Compliance Visit & Audit Coordination Record Verification & Documentation Regulatory Research MIS & Compliance Reporting Excel / MS Office Attention to Detail Analytical & Problem-Solving Skills

Employee Applicant Privacy Notice Who we are: Shape a brighter financial future with us. Together with our members, we’re changing the way people think about and interact with personal finance. We’re a next-generation financial services company and national bank using innovative, mobile-first technology to help our millions of members reach their goals. The industry is going through an unprecedented transformation, and we’re at the forefront. We’re proud to come to work every day knowing that what we do has a direct impact on people’s lives, with our core values guiding us every step of the way. Join us to invest in yourself, your career, and the financial world. The role In this role, you will participate in the development, implementation and administration of the Compliance Management Program for the SoFi Invest product group. You will provide primary compliance coverage in support of the registered investment adviser, SoFi Wealth. The main objective of this role is to serve as a trusted adviser and partner to the business units responsible for driving the growth of the broader Invest product offerings (including SoFi Wealth), while mitigating regulatory risk to the SoFi enterprise. You will participate in various committees, audits and examinations, as well as test the processes and infrastructure for the investment adviser and broker dealer that facilitate Invest activities through the administration and maintenance of the Compliance Risk Assessment and Annual Reviews. You will advise the Compliance and Legal teams on emerging compliance issues, regulatory changes, and new rules, and consult and guide the company in the establishment of controls to mitigate risks. You will engage with business partners to offer appropriate knowledge, expertise and business acumen to meet the increasing demands of a rapidly changing regulatory environment. What you’ll do: Day-to-day responsibility for management and ongoing evolution of the firm's investment advisory compliance

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 Role: The Compliance Analyst, Expert Network plays an important role in supporting the day-to-day compliance needs of AlphaSense's Expert Network business. Reporting to the Head of Expert Network, this role supports expert sourcing and onboarding, client compliance onboarding and inquiries, and other compliance questions that arise across the Expert Network business. As part of the Compliance team, the Compliance Analyst will help review experts being considered for client projects, apply AlphaSense's sourcing and compliance policies, and provide guidance to the teams responsible for sourcing experts. The role will also support client-specific compliance requirements and help respond to questions and concerns from clients about AlphaSense's Expert Network compliance practices. This role is well suited for someone who is interested in developing

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 Role: The Compliance Analyst, Expert Network plays an important role in supporting the day-to-day compliance needs of AlphaSense's Expert Network business. Reporting to the Head of Expert Network, this role supports expert sourcing and onboarding, client compliance onboarding and inquiries, and other compliance questions that arise across the Expert Network business. As part of the Compliance team, the Compliance Analyst will help review experts being considered for client projects, apply AlphaSense's sourcing and compliance policies, and provide guidance to the teams responsible for sourcing experts. The role will also support client-specific compliance requirements and help respond to questions and concerns from clients about AlphaSense's Expert Network compliance practices. This role is well suited for someone who is interested in developing

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 Role: The Compliance Analyst, Expert Network plays an important role in supporting the day-to-day compliance needs of AlphaSense's Expert Network business. Reporting to the Head of Expert Network, this role supports expert sourcing and onboarding, client compliance onboarding and inquiries, and other compliance questions that arise across the Expert Network business. As part of the Compliance team, the Compliance Analyst will help review experts being considered for client projects, apply AlphaSense's sourcing and compliance policies, and provide guidance to the teams responsible for sourcing experts. The role will also support client-specific compliance requirements and help respond to questions and concerns from clients about AlphaSense's Expert Network compliance practices. This role is well suited for someone who is interested in developing

We are seeking a highly skilled and experienced Lead - Compliance to join our dynamic team at Adani Airports City Side Development Team. The ideal candidate will possess strong analytical skills, excellent communication abilities, and a proven track record of relevant industry experience. As a key member of our team, you will be responsible for ensuring compliance management, monitoring, risk management, reporting, due diligence, and compliance MIS for the real estate built environment. Source: Adani Group | Job ID: 55227

Join us in building the future of finance. Our mission is to democratize finance for all. An estimated $124 trillion of assets will be inherited by younger generations in the next two decades. The largest transfer of wealth in human history. If you’re ready to be at the epicenter of this historic cultural and financial shift, keep reading. About the team + role We are building an elite team, applying frontier technologies to the world’s biggest financial problems. We’re looking for bold thinkers. Sharp problem-solvers. Builders who are wired to make an impact. Robinhood isn’t a place for complacency, it’s where ambitious people do the best work of their careers. We’re a high-performing, fast-moving team with ethics at the center of everything we do. Expectations are high, and so are the rewards. Robinhood Asset Management (“RAM”) is a digital-first investment advisor responsible for delivering investment advice to its rapidly growing client base. RAM is continuing to expand its business activities to meet the needs of clients with broader, more complex, and comprehensive advisory needs. Working with a dedicated team of qualified relationship managers and utilizing innovative technology resources, RAM will meet the needs of its clients by delivering this unique financial planning service conveniently at their fingertips, anytime and anywhere. The Compliance Specialist will help create and champion a culture of compliance for a new investment advisory business activity at the pre-launch and development stage. As a primary point of contact, you will coordinate with teams across the broader Robinhood spectrum to identify and solve problems, research unique issues, and collaborate to achieve a successful launch. You'll help set the path for a customer-friendly, compelling, and regulatorily compliant advisory service. You will be expected to apply the requirements of a fiduciary’s duty to serve clients and have experience documenting best pr

Join us in building the future of finance. Our mission is to democratize finance for all. An estimated $124 trillion of assets will be inherited by younger generations in the next two decades. The largest transfer of wealth in human history. If you’re ready to be at the epicenter of this historic cultural and financial shift, keep reading. About the team + role We are building an elite team, applying frontier technologies to the world’s biggest financial problems. We’re looking for bold thinkers. Sharp problem-solvers. Builders who are wired to make an impact. Robinhood isn’t a place for complacency, it’s where ambitious people do the best work of their careers. We’re a high-performing, fast-moving team with ethics at the center of everything we do. Expectations are high, and so are the rewards. The Communications Compliance team ensures our parent company and affiliate entities maintain the highest standards of regulatory and brand integrity. We review, audit, approve, and advise on a wide range of public-facing retail communications, partnering closely with Marketing, Legal, Content, and Compliance teams. As a Communications Compliance Senior Specialist, you will review and advise on parent company and enterprise-level communications, including select third-party advertising content, and work with business compliance on multi-entity communications. You will provide guidance early in the creative process and support internal teams in meeting regulatory requirements and internal policies. This role plays a key part in ensuring communications align with FTC, SEC, FINRA, CFTC, FCA, and other applicable regulatory standards. You will also contribute to strengthening review processes and documentation practices that support consistent, high-quality compliance oversight. This role is based in our Menlo Park, CA, New York, NY, Washington, DC, or Denver, CO offices, with in-person attendance expected at least 3 days per week. At Robinhood, we believe in the power of

At Affirm, we exist for the moments that matter—giving people a clear, predictable way to pay over time, with no hidden fees, no surprises, and no tradeoffs on what matters most. Affirm’s International Compliance team designs and implements compliance programs that proactively address regulatory requirements while identifying and mitigating compliance risks. As a second line of defence function, Compliance partners closely with the business to support new products, markets, and strategic initiatives while strengthening controls and delivering strong consumer outcomes. As Regulatory Compliance Manager, Australia, you will lead the Australian regulatory compliance program. You will translate global compliance strategy into local execution, ensure applicable Australian regulatory and licensing obligations are met, and support responsible growth and strong consumer outcomes. What You’ll Do Australian Regulatory Program Ownership Own and oversee the Australian regulatory compliance framework for consumer credit and related financial services, including the National Consumer Credit Protection Act, National Credit Code, Privacy Act,, applicable licence conditions, and associated regulatory guidance. Maintain documented compliance arrangements that support Australian credit licence obligations and keep pace with regulatory change, including the rules applying to buy now pay later (low cost credit contracts) and consumer credit. Lead ASIC examinations, inquiries, information requests, licence interactions, and other supervisory engagement. Oversee timely and accurate regulatory notifications and reporting, including reportable situations, internal dispute resolution data, licence updates, and other applicable filings. Risk Management & Controls Maintain the Australian regulatory obligations register and compliance risk assessment process, with clear ownership, controls, monitoring, and evidence. Set remediation priorities and oversee root-cause analysis, corrective actio

Senior Manager, Japan Security and Compliance GTM WHAT IS BOX? [Recruiting owns] Box is the market leader for Cloud Content Management. Our mission is to power how the world works together. Box is partnering with enterprise organizations to accelerate their digital transformation by creating a single platform for secure content management, collaboration and workflow. We have an amazing opportunity to further establish ourselves as leaders in the space, and we need strong advocates to help us achieve that goal. By joining Box, you will have the unique opportunity to help capture a majority of this developing market and define what content management looks like for the digital enterprise. Today, Box powers over 97,000 businesses, including 70% of the Fortune 500 who trust Box to manage their content in the cloud. WHY BOX NEEDS YOU Box's security, compliance, and privacy posture is a business enabler for customers and a competitive differentiator in the market. We are looking for a Senior Manager, Japan Security and Compliance GTM, to lead Box’s customer trust efforts in Japan. This will include oversight and responsibility for gathering, vetting and scaling security, compliance, privacy and other trust-related information to customers and partners. The right person should be excellent at communicating vertically and horizontally across the company and will be comfortable explaining Box's security, compliance, and privacy posture. WHAT YOU'LL DO Lead Japan’s customer trust efforts, including responding to customer security due-diligence questionnaires and, as needed, leading customer audits. Work with US-based GRC, Security, Legal, Product and other SMEs to find answers to customer questions specific to the Japan market. Assess the need for new customer-facing content; drive the development of new content; and then scale it to account teams, customers and partners, as appropriate. Work closely with both Box Japan’s leadersh

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.