Regulatory and Security Compliance Analyst

Role Overview:We are seeking a meticulous and analytical Risk and Compliance Analyst to join our dynamic team. This position is pivotal in assisting with risk analysis and the implementation of controls that align with regulatory standards and client control frameworks. The ideal candidate will possess exceptional critical thinking abilities, strong analytical skills, and the capacity to work autonomously.As part of our commitment to growth, you will play a key role in enhancing Elliptic's risk and compliance processes, tailoring our offerings to meet the needs of clients operating in complex regulatory environments. Your contributions will assist in the evolution of our existing frameworks and introduce innovative business practices critical to our strategic goals.You will collaborate within a small yet energetic team in a rapidly growing organization, requiring a mindset geared towards growth. We value commitment to your colleagues and the company, along with a proactive approach to identifying and overcoming challenges collaboratively. The environment is fast-paced yet rewarding!We encourage professional development and are looking for someone who can fulfill current needs while also having the potential for greater responsibilities in the future.Key Responsibilities:Supporting the Enterprise Risk Management Framework (ERMF):Enhance and mature existing enterprise-wide ERMF processes and procedures.Collaborate with stakeholders to conduct risk assessments and convey operational and tactical risks using risk management tools.Work alongside department heads to develop risk treatment controls and implement monitoring processes to evaluate control design and effectiveness.Analyze risk data and communicate findings regarding risk concentration and changes in risk scores to management through various forums and committees.Assist in creating risk policies and procedures.Design and deliver risk training and awareness programs for colleagues.Managing the Organizational Compliance Framework:Maintain a comprehensive understanding of relevant regulatory requirements...

About UsAt DriveWealth, we are revolutionizing the way people invest. Our mission is to empower every individual to take control of their financial future, ensuring that access to financial markets is not hindered by location, wealth, or outdated systems. As a leading global B2B financial technology company, we strive to democratize financial independence through our innovative API-based platform. This enables our partners to deliver seamless investing and trading experiences to clients across the globe, all from their mobile devices. Our cutting-edge technology equips partners with a versatile toolkit, facilitating both traditional investment workflows and groundbreaking innovations like fractional share ownership. DriveWealth has transformed into a comprehensive global platform for trading US equities, mutual funds, ETFs, fixed income, and options.Now is the perfect moment to join a pioneering organization and contribute to a team poised for success. Our culture blends the dynamic energy of a fintech startup with the rigor, stability, and reliability of Wall Street. We foster creativity and experimentation, while maintaining institutional-grade execution and adherence to regulatory standards. Become a part of our journey to shape the future of global investing!About the RoleWe are looking for a meticulous and analytical Regulatory Response Analyst to become a vital member of our Regulatory Liaison Group. In this role, you will report directly to the Head of the Regulatory Liaison Group and act as a key resource during regulatory examinations and inquiries.The ideal candidate will possess expertise akin to that of a junior SEC Broker-Dealer or FINRA Market Regulation or Member Supervision Examiner. A solid understanding of Financial Operations (FinOp), Sales Practices, and Market Regulations is essential to effectively manage, analyze, and respond to intricate regulatory inquiries and formal examinations.What You’ll DoSupport the team in handling SEC, FINRA, and state regulatory inquiries, examinations, and sweep letters, including gathering, reviewing, and synthesizing requested documentation prior to submission.Create clear, concise, and factual narrative responses to regulatory requests, ensuring accurate representation of the firm’s policies, procedures, and data.Collaborate with finance and accounting teams to review and validate materials related to Net Capital (SEA Rule 15c3-1), Customer Protection (SEA Rule 15c3-3), margin requirements, and FOCUS reporting.Examine firm data to respond to inquiries related to Anti-Money Laundering (AML/BSA).

Join Wise as a Regulatory Compliance Lead, where you will play a pivotal role in ensuring our operations align with regulatory requirements. You will work closely with cross-functional teams to develop compliance strategies that uphold our commitment to transparency and integrity. Your expertise in regulatory frameworks will be crucial as you navigate complex compliance landscapes and foster a culture of compliance throughout the organization.

About Five RingsFive Rings LLC is a cutting-edge proprietary trading firm committed to integrating strategy, innovation, and technology to thrive in the global marketplace. With a presence in New York, Boca Raton, London, and Amsterdam, we engage in trading across a spectrum of established and niche markets. Our proactive team continually identifies and evaluates opportunities to develop strategies and tools that maximize returns.We pride ourselves on fostering an open culture that encourages the free exchange of knowledge and ideas across all divisions of the firm.About the RoleWe are seeking a Compliance Analyst to join our dynamic compliance team in New York City. This role is pivotal in establishing, implementing, and maintaining robust policies and procedures to ensure our compliance with legal and regulatory obligations. Key responsibilities include monitoring trading activities, training and onboarding staff, documenting new policies, managing regulatory communications, and staying abreast of regulatory changes and best practices.

Director of Regulatory and ComplianceLocation: Remote | US, UK, EUAbout NotabeneAt Notabene, we serve as the essential trust layer for global financial transactions, facilitating the largest network of Travel Rule-compliant regulated digital asset institutions worldwide. Our mission is to enable secure and interoperable cryptocurrency transactions across various jurisdictions.Moreover, we are pioneering the first open stablecoin payments platform tailored for businesses, aiming to integrate compliant and programmable digital dollar payments into everyday commerce. As the regulatory landscape for stablecoins and payments continues to evolve globally, establishing regulatory clarity and operational implementation is vital to our growth strategy.Your ImpactIn the Regulatory & Compliance team, you will ensure that Notabene remains at the forefront of global regulatory changes while contributing to the development of responsible and interoperable standards for digital asset and stablecoin-based payment infrastructures.We are on the lookout for a Regulatory and Compliance Director who will position Notabene as the authoritative regulatory entity for Travel Rule implementation and compliant stablecoin infrastructure. You will forge key relationships with global regulators and industry associations, create thought leadership content that shapes industry discussions, and integrate regulatory expertise into our enterprise go-to-market strategy.Reporting directly to the VP of Global Regulatory & Compliance Strategy, you will influence policy, enhance regulatory engagement, and serve as the regulatory subject matter expert for the enterprise. This outward-facing role is pivotal in bridging regulatory influence, product alignment, and enterprise trust.Key ResponsibilitiesYour responsibilities will encompass three interconnected strategic areas:Policy Influence & Regulatory EngagementYou will play a crucial role in shaping the regulatory framework within which Notabene operates.Establish and nurture relationships with global regulators and supervisory bodies to educate them on Travel Rule infrastructure and the complexities of stablecoin payments.Prepare strategic consultation responses and position papers that articulate Notabene's competitive positioning on Travel Rule, AML/CTF, stablecoins, and payments, transforming regulatory requirements into actionable strategies.Actively represent Notabene in key industry associations and forums as a thought leader and trusted advocate.

CLEAR builds a secure identity platform used by over 38 million members worldwide. Our technology helps people move smoothly through airports, stadiums, and other venues, with a growing network of partners. Role Overview The Security Compliance Analyst will oversee IT General Controls (ITGCs) and support SOX audit readiness. This position focuses on strengthening compliance processes, improving the quality of evidence, and maintaining strong controls as CLEAR grows.

At Garner Health, our mission is to revolutionize the healthcare economy by providing high-quality and affordable care for everyone.We are fundamentally reshaping the healthcare system in the U.S. through collaborations with employers to redefine healthcare benefits using transparent incentives and impactful, data-driven insights. Our innovative approach helps employees access superior, cost-effective care, ultimately creating a healthcare ecosystem that benefits all stakeholders. Patients experience improved health outcomes, employers utilize healthcare funds more efficiently, and physicians are incentivized to deliver outstanding care rather than simply increasing procedures.Garner is recognized as one of the fastest-growing healthcare technology companies in the nation. Our solutions are trusted by leading employers and healthcare providers, and we are building a diverse team of passionate, mission-oriented professionals dedicated to making a significant impact in healthcare at scale.About the Role:We are in search of an outstanding Director of Compliance and Regulatory Affairs to join our Legal team. Reporting directly to the General Counsel, you will take a pivotal role in shaping and implementing Garner’s Governance, Risk, and Compliance (GRC) strategy. As the primary subject matter expert on the regulatory frameworks that govern our products—including ERISA, HIPAA, IRS regulations, state-level TPA guidelines, privacy laws, and insurance regimes—you will be instrumental in establishing and enhancing a proactive, scalable compliance infrastructure that aligns with our rapid growth and evolving risk landscape.Work Environment:While Garner is headquartered in New York City, this position offers the flexibility of remote work and occasional travel to our headquarters.Your Responsibilities:Develop and maintain a comprehensive, scalable GRC framework to manage Garner’s regulatory risks, obligations, and internal policies.Act as the main internal contact for the Revenue, Marketing, and other teams regarding daily regulatory and compliance-related inquiries and challenges.Oversee Garner’s ongoing compliance responsibilities, including the management of its license application and renewal programs, as well as other necessary regulatory submissions.Collaborate with the Product Team to provide compliance guidance on new product initiatives and modifications to existing offerings, ensuring adherence to applicable regulations.Create and uphold formal protocols for internal and external investigations, risk assessments, and incident response strategies.Provide general legal support as needed.

Join TWG Group Holdings, LLC (“TWG Global”), a pioneer in driving innovation and business transformation across diverse sectors including financial services, insurance, technology, media, and sports. By harnessing the power of data and AI, we deliver real-time intelligence and interactive business applications that empower informed decision-making for our clients and employees alike.We are committed to responsible data and AI practices, upholding ethical standards and regulatory compliance as a priority. Our decentralized structure allows each business unit to operate independently while being supported by a centralized AI Solutions Group. Collaborating with leading data and AI vendors, we fuel transformative efforts in marketing, operations, and product development.As a key player in our organization, you will work alongside management to enhance our data and analytics transformation, boost productivity, and facilitate agile, data-driven decision-making. By leveraging relationships with top tech startups and universities, you’ll play a pivotal role in creating competitive advantages and fostering enterprise innovation.Your contributions will be instrumental in achieving our objectives of sustained growth and exceptional returns, delivering unparalleled value and impact across our businesses.The RoleThe Vice President of AI Regulatory Compliance will act as a strategic leader within our AI Regulatory Compliance team, ensuring that all AI initiatives adhere to the evolving regulatory landscape and industry standards. Collaborating closely with cross-functional teams including Compliance, Legal, Business, and Technology, you will help establish and uphold AI governance frameworks and policies that address estimation risk, technology controls, data risk, and operational risk.The ideal candidate will operationalize AI compliance strategies and provide guidance to senior leadership on regulatory matters. This role will report directly to the Head of Regulatory Compliance.Key Responsibilities:Develop and refine AI governance frameworks and policies to ensure compliance throughout the AI model lifecycle.Monitor and interpret emerging AI regulations and industry benchmarks, analyze their implications for business operations, and offer strategic advice to internal stakeholders and external clients.Maintain and regularly update risk-based frameworks for reviewing, approving, and monitoring AI use cases.Conduct routine compliance assessments and monitoring checks to ensure adherence to governance policies and procedures.

Join Oscar Health as a Senior Analyst specializing in Regulatory Licensing within our dynamic Corporate Counsel team. Founded in 2012, Oscar is revolutionizing health insurance by integrating advanced technology with a commitment to member-centric service. Our mission is to provide the type of health insurance experience that we would want for ourselves—one that feels personal and supportive. Role Overview: As a Senior Analyst in Regulatory Licensing, you will play a critical role in managing projects and supporting key tasks to ensure compliance with federal and state product filing requirements. You will collaborate closely with various internal teams and engage with external regulatory bodies to maintain Oscar’s commitment to compliance. You will report directly to the Senior Manager of Regulatory Licensure. Work Environment: This position is based in our New York City office and follows a hybrid work model, requiring three days in the office each week. Thursdays are designated for in-office team meetings and events, while the remaining two in-office days are flexible. Compensation Transparency: The hourly rate for this position ranges from $38.22 to $50.16, along with comprehensive employee benefits and a vacation accrual of 15 days per year. Key Responsibilities: Oversee the preparation and filing of Oscar's commercial insurance products, advising teams through annual filings for relevant states and regions. Establish processes for tracking and monitoring both annual and ad hoc filings across diverse teams and maintain a repository to address and reduce yearly objections. Develop strong relationships with regulatory authorities, including state insurance regulators such as the Arizona Department of Insurance, Florida Office of Insurance Regulation, and Texas Department of Insurance. Serve as the subject matter expert on assigned states, contributing to the creation of internal procedural guides to support team operations and preserve institutional knowledge. Monitor and communicate any filing objections, guiding resolution efforts in collaboration with relevant teams. Design sustainable processes that enhance the efficiency and quality of outputs from our growing team. Ensure compliance with all relevant laws and regulations. Perform additional tasks as assigned. Qualifications: A minimum of 2 years of experience in licensing, preferably within the health plan or managed care sector. Strong organizational skills with the ability to manage multiple projects simultaneously. Exceptional communication skills, both verbal and written. A proactive approach to problem-solving and a commitment to compliance excellence. Ability to build and maintain relationships with regulatory bodies.

Join us at Oscar, where we are redefining the health insurance landscape. We are seeking a Senior Analyst in UM Regulatory Operations to become an integral part of our dynamic team. Since our inception in 2012, Oscar has been committed to leveraging a comprehensive technology platform to serve our members better. Our mission is to create a health insurance experience that feels personal and supportive, just like having a family doctor. About the Role: In this position, you will play a vital role in enhancing our operational processes to meet organizational objectives. Your responsibilities will encompass supporting the implementation of regulatory standards, compliance initiatives, UM audits, and various projects as necessary. You will report directly to the Senior Manager of UM Regulatory Operations. Work Location: This role is located in our New York City office, following a hybrid work model with three in-office days each week. Thursdays are mandatory for team meetings and events, while the other two days offer flexibility based on your schedule. #LI-Hybrid Pay Transparency: The annual base salary for this position ranges from $75,348 to $98,894. In addition, you will receive comprehensive employee benefits, access to Oscar's unlimited vacation policy, and eligibility for annual performance bonuses.

Title: Director/Partner - Regulatory Compliance & Investigations Department: Regulatory Compliance & Investigations Supervises: Senior Managers and staff Role Type: Full-time Location: New York, NY (Hybrid) We are looking for a dynamic and experienced Director or Partner to lead and elevate our Regulatory Compliance and Investigations (RCI) practice at Anchin. This role is pivotal in driving strategic growth initiatives and enhancing our advisory services. The successful candidate will not only manage high-impact client engagements but also mentor and guide a team of professionals. A robust understanding of regulatory compliance, corporate investigations, and forensic accounting is essential, along with a proven history of business development and client relationship management. Key Responsibilities: Lead and manage complex RCI engagements, including internal investigations, regulatory responses, fraud risk assessments, compliance program development, and forensic accounting. Act as a trusted advisor to clients across various sectors, offering insights on evolving regulatory landscapes and government enforcement trends. Ensure high-quality deliverables, meet deadlines, and maintain client satisfaction on all projects. Drive new business opportunities through networking, relationship building, and participation in industry events and thought leadership. Collaborate with firm leadership to formulate go-to-market strategies and service offerings aligned with client needs and market trends. Grow the RCI practice’s footprint by fostering long-term client relationships and cross-selling services.

The MLB Information Security team is seeking a dedicated Governance, Risk & Compliance (GRC) Analyst for a seasonal position. This role is essential in supporting our governance, risk management, and compliance initiatives. The selected Analyst will engage in various GRC activities, including assisting with audit preparations, conducting risk assessments, monitoring risk registers, and updating internal policies and procedures.Key ResponsibilitiesAssist in the implementation of MLB’s data privacy, governance, and risk management programs.Facilitate the execution of PCI-DSS and SOC 1 Type II audits by reviewing evidence, coordinating with internal stakeholders, and maintaining audit readiness dashboards.Perform thorough vendor security and compliance risk assessments while providing recommendations for contractual security provisions.Refine and maintain vendor risk review workflows, manage the vendor repository, and apply risk tiering based on data access and criticality using MLB’s TPRM tool.Track and manage risk acceptances and policy exceptions, ensuring proper documentation and regular reviews.Support the fulfillment of Data Subject Access Requests (DSAR), ensuring compliance with statutory timelines required by applicable privacy laws.Assist in drafting compliance policies, procedures, and playbooks related to cybersecurity, privacy, confidentiality, and data protection.Develop and maintain KPIs and dashboards to evaluate the success of GRC programs and initiatives.

Role overview Verra Mobility is hiring an IT Compliance Analyst for its Manhattan office. This position centers on ensuring that IT systems and processes align with regulatory requirements and industry standards. Careful analysis and a strong eye for detail are essential for supporting compliance and maintaining security throughout the organization. What you will do Collaborate with teams from different departments to identify compliance risks and implement appropriate controls. Carry out audits of IT systems and processes to verify adherence to standards. Prepare detailed compliance reports and document audit findings. Provide recommendations to strengthen compliance and enhance security measures. Requirements Strong analytical skills Keen attention to detail

As a Marketing Compliance Analyst at mangroup, you will play a pivotal role in ensuring that our marketing strategies adhere to legal standards and industry regulations. You will conduct thorough reviews of marketing materials, assess compliance risks, and collaborate with cross-functional teams to implement best practices in marketing compliance.

Join the City of New York as a Training Compliance Analyst and play a vital role in ensuring adherence to training standards across various departments. You will be responsible for monitoring compliance with training regulations, conducting audits, and providing recommendations for improvement. Your analytical skills will contribute to the development of training programs that enhance workforce performance and compliance.

Join Our Team as a Law Enforcement Compliance AnalystAt Current, we are a pioneering consumer fintech platform dedicated to reshaping financial accessibility for millions of Americans. With a community of over five million members, we strive to provide innovative financial solutions that empower individuals to achieve better financial outcomes. Headquartered in New York City, we foster a results-oriented environment that encourages product development, rapid growth, and impactful teamwork.Position OverviewWe are seeking a proactive Law Enforcement Compliance Analyst to become a vital part of our expanding team. In this role, you will:Oversee Current's responses to subpoenas and law enforcement requests.Facilitate the coordination of BSA/AML transaction monitoring, investigations, and reporting.Key ResponsibilitiesManage all aspects of law enforcement requests (e.g., subpoenas, fund freezes, search warrants, court orders) ensuring compliance with statutory deadlines and internal protocols.Prioritize and track incoming law enforcement requests while collaborating with Legal, Compliance, and Fraud teams to compile necessary documentation.Prepare and submit detailed law enforcement response packages, including transactional data, account records, and investigative narratives, while maintaining meticulous audit trails.Act as the primary liaison for partner banks regarding law enforcement request status and performance metrics.Conduct thorough investigations into potential financial crimes such as money laundering and terrorist financing; prepare and file Unusual Activity Reports (UARs) as necessary; assist in the development of compliance policies and procedures.QualificationsMinimum of 2 years’ experience in a compliance-related position within a financial institution, fintech, or regulatory agency.Strong understanding of consumer finance products and relevant regulations.Demonstrated ability to manage multiple tasks effectively in a dynamic environment.

Join the City of New York as a Program, Policy & Domestic Violence Regulatory Compliance Specialist. In this pivotal role, you will be tasked with ensuring compliance with domestic violence regulations, developing policies, and implementing programs that support victims. Your work will directly impact the lives of those affected by domestic violence, making it essential to possess a keen understanding of program management and regulatory frameworks.

tagup seeks a Security & Compliance Manager (ISSO / FSO) based in New York, NY. This position centers on protecting information systems and ensuring the company meets all required compliance standards. Key responsibilities Lead security projects from planning through implementation Oversee risk management activities to identify and address vulnerabilities Collaborate with teams across the company to improve security practices Focus areas Safeguarding information systems Maintaining compliance with relevant standards This role requires both technical expertise and strong communication skills to coordinate efforts across departments and keep security at the forefront of company operations.

About UsAt e.l.f. Beauty, Inc., we embrace beauty in all forms. Since our inception in 2004, our dedication to clean and cruelty-free beauty has established e.l.f. Cosmetics as a leading name in the industry. Our diverse portfolio includes e.l.f. Cosmetics, e.l.f. SKIN, and innovative brands such as Well People and Keys Soulcare, among others. With a focus on high-performance, biocompatible skincare and essentials tailored for various skin types, our brands are designed to enhance your daily beauty routine.In Fiscal Year 25, we reported impressive net sales of $1 billion, achieving 28 consecutive quarters of growth, solidifying our position as the #2 mass cosmetics brand in the U.S. Our robust compensation packages include competitive salaries, bonus eligibility, equity options, flexible time off, and a hybrid work environment. We pride ourselves on fostering a unique culture that prioritizes our team's well-being and professional growth.Discover more about our team and careers at: https://www.elfbeauty.com/work-with-usPosition Overview: The Regulatory Coordinator will play a crucial role in supporting regulatory compliance across product development, claims review, packaging compliance, and sustainability initiatives. Reporting to the Regulatory Manager/Senior Manager, you will assist with the regulatory review of ingredients, raw materials, and formulations for cosmetics and OTC products, as well as facilitate global product and site registrations. A collaborative mindset and ability to work seamlessly across functions and with external partners are essential for success in this role.