Risk and Compliance Specialist

Type: Remote/United States

Seeking a Risk and Compliance Specialist to ensure our platforms adhere to regulatory requirements while managing operational risks.

Key Responsibilities:

  • Ensure compliance with SEC, FINRA, and other regulatory requirements

  • Develop and implement compliance policies and procedures

  • Monitor regulatory developments in FINTECH/AI spaces

  • Conduct risk assessments and internal audits

  • Implement AML/KYC procedures

  • Liaison with legal counsel and regulators

  • Train team members on compliance requirements

  • Manage incident response and tracking

Requirements

  • 5+ years experience in FINTECH/Financial Services

  • Deep knowledge of financial regulations and SEC requirements

  • Understanding of AI/ML compliance implications

  • Relevant certifications (CAMS, CRCP, etc)

  • Experience with regulatory reporting

  • Experience with blockchain analytical tools

  • Strong analytical and problem-solving skill;s