Compliance

• Audit service ticket completion reports
• Assist lead coordinators in lead dissemination and follow-ups
• Monitor and verify compliance with operational and safety policies
• Identify discrepancies or patterns in operational procedures
• Prepare reports and present audit findings to management
• Participate in ongoing virtual meetings and training sessions with management
• Take on additional auditing or operational tasks as the role evolves

Audit and Compliance VA

• Research and verify carriers using multiple online platforms to ensure legitimacy and compliance with company standards.
• Document our internal system to keep accurate records of carrier qualifications and compliance status.
• Analyze data and make informed decisions regarding carrier approval and risk assessment.
• Process requests efficiently in a fast-paced environment while maintaining accuracy and meeting established service levels.
• Collaborate with internal teams to address and resolve any carrier compliance issues or discrepancies.
• Prioritize and multitask effectively while handling a high volume of carrier approvals.

Carrier Compliance Representative

• Ensure the Business Unit’s (BU) transactions are screened and compliant with the rules and regulations and Emerson’s policies on International Trade Compliance.
• Ensure that the BU complies with the various rules of the Free Trade Agreement (FTA) it utilizes by helping perform FTA qualification and solicitation.
• Support the BU’s annual USMCA supplier solicitation.
• Determine the eligibility of BU products under U.S. government-funded procurement laws, including the American Recovery and Reinvestment Act (ARRA), Buy American Act, and various Buy America Acts.
• Provide tariff classification and analysis of the BU products.
• Prepare a monthly broker scorecard for the BU’s accredited brokers.
• Provide support to the BU in managing its trade compliance program.

Analyst I, Trade Compliance

• Execute search and discovery tasks by navigating data broker websites using member identifiers provided by the task system.
• Locate matching records, evaluate whether the result is a correct match, capture evidence through screenshots and listing URLs, and flag ambiguous results for team lead review.
• Submit opt-out and removal requests using web forms, email templates, and multi-step browser flows.
• Follow the Broker Playbook Card for each site, which provides the exact URL, required form fields, standard removal language, and step-by-step instructions.
• Complete CAPTCHAs and other anti-automation challenges as needed.
• Monitor designated facade email inboxes for verification messages from data brokers.
• Identify legitimate verification emails, click confirmation links, enter verification codes, or send approved reply text within required deadlines.
• Distinguish legitimate broker communications from spam or phishing attempts and flag suspicious messages immediately.
• Return to broker sites on a scheduled basis to verify that previously submitted removal requests were completed.
• Compare current site results against original evidence captured during the initial submission.
• Document outcomes and flag overdue or incomplete removals for re-submission and escalation.
• For a subset of identity-matched broker sites, prepare and submit formal authorized agent privacy rights requests using pre-built legal templates.
• Record every action in the task system with complete and accurate detail: submission method, timestamps, confirmation IDs, screenshots, and any deviations from the standard playbook.
• Report any data exposure, security concern, or process deviation immediately through the incident reporting system.

Compliance Operations Specialist

• Lead the company’s overall compliance strategy, governance framework, and regulatory engagement.
• Serve as the primary liaison with BSP, AMLC, NPC, SEC, and other relevant regulators and stakeholders.
• Maintain strong and proactive relationships with regulators and ensure high-quality regulatory communication and responsiveness.
• Ensure ongoing compliance with:
• - BSP regulations,
• - EMI and e-money requirements,
• - payment services regulations,
• - AMLA requirements,
• - VASP guidelines,
• - consumer protection obligations,
• - sanctions requirements,
• - and other applicable laws and regulations.
• Lead regulatory examinations, audits, inspections, enforcement inquiries, and remediation programs.
• Drive timely and effective execution of regulatory commitments and corrective action plans.
• Provide regular compliance and risk reporting to executive management and Board committees.
• Own and continuously enhance the company’s AML/CFT, sanctions, and financial crime compliance programs across:
• - e-wallets,
• - domestic payments,
• - cross-border payments,
• - remittances,
• - crypto transactions,
• - and partner ecosystems.
• Ensure effective risk-based controls across both fiat and digital asset flows.
• Partner closely with Product, Engineering, Operations, Legal, Risk, and Commercial teams to support compliant product launches and business expansion.

Chief Compliance Officer – CCO

• Perform CIP reviews of accounts introduced to Apex Clearing Corporation
• Review client-provided documentary verification to determine whether an account meets the organization's CIP requirements
• Utilize Third Party Vendors and open sources to review negative news on potential end clients
• Heavily rely on research skills to assess whether potential clients and/or end customers are confirmed matches to derogatory news
• Document findings effectively and thoroughly within the firm's systems

Compliance Analyst – CIP

• Lead and actively support compliance testing, monitoring, and quality assurance activities
• Oversee testing deliverables and manage team members
• Conduct and oversee compliance testing and monitor regulatory and internal compliance requirements
• Perform testing analysis and develop clear reports for management and stakeholders
• Maintain strong working relationships with regulators and internal stakeholders

Compliance Team Lead

• Oversee testing deliverables, managing team members, and directly participating in the execution of testing activities.
• Support the implementation and execution of the annual compliance testing plan.
• Conduct and oversee compliance testing, monitoring, and quality assurance activities.
• Identify regulatory and control gaps, assess root causes, and provide practical recommendations.
• Lead testing kick-off meetings and coordinate information and data collection from testing subjects.
• Draft clear, accurate, and concise testing reports for management and stakeholders.
• Assist in reviewing testing workpapers, findings, and final reports prior to release.
• Research and monitor relevant regulations and maintain strong working relationships with regulators.

Compliance Team Lead, Testing CoE

• Directly report to the Assistant Manager of Testing
• Lead and actively support compliance testing, monitoring, and quality assurance activities
• Oversee testing deliverables, manage team members, and participate in the execution of testing activities
• Research regulatory requirements, analyze data, prepare concise testing reports, and coordinate testing activities to ensure regulatory and internal compliance requirements are met

• Serve as the primary point of contact for all BSP examinations, inquiries, and correspondence
• Monitor and interpret BSP circulars, memoranda, and issuances; translate these into actionable internal policies
• Ensure timely and accurate submission of all regulatory reports (MORB, and related submissions)
• Proactively build and maintain a strong, professional relationship with BSP examiners
• Design, implement, and continuously improve the bank's compliance framework, policies, and procedures
• Lead the annual compliance risk assessment and testing calendar
• Manage the bank's AMLA/CTF program end-to-end from KYC/CDD to STR/CTR filing with the AMLC
• Ensure compliance with BSP regulations on consumer protection, data privacy (NPC), and financial inclusion mandates
• Own the bank's complete MORB compliance program — mapping all applicable regulations to internal policies, procedures, and controls
• Maintain a master regulatory inventory tracking every MORB requirement applicable to the bank, with clear owners, deadlines, and status
• Lead the periodic review and updating of all bank policies required under the MORB — including but not limited to credit, treasury, IT security, anti-fraud, consumer protection, and risk management policies
• Ensure all policies are board-approved, properly documented, and reviewed on schedule; flag gaps or outdated provisions proactively
• Drive the bank's self-assessment against MORB standards ahead of BSP examinations — no surprises
• Translate MORB updates and new BSP circulars into concrete policy changes, and shepherd those changes through the approval process from drafting to board sign-off
• Collaborate with department heads to ensure their operating procedures are aligned with MORB requirements — and actually followed on the ground
• Partner with the tech and product teams on digital banking initiatives, ensuring BSP's e-money, digital payments, and cybersecurity regulations are met from day one
• Review and clear new products, channels, and partnerships before launch
• Act as the compliance conscience in the product development process — pushing back where needed, but always offering a compliant alternative
• Champion a culture where compliance is a business enabler, not a bottleneck
• Train and upskill staff across branches on compliance requirements
• Report directly to the President/CEO and the Board's Risk and Compliance Committee

Head of Compliance

• Gather, review, and organize documentation required for E&S tax filings
• Process and prepare E&S tax filing submissions accurately and within deadlines
• Ensure compliance with state-specific surplus lines tax requirements
• Maintain accurate records of filings and supporting documents
• Coordinate with internal teams and stakeholders to obtain necessary information
• Monitor filing timelines and follow up on pending requirements

Compliance Line Officer – US Insurance

• Import manual subcontractor pay applications into Sage
• Request, collect, and track lien waivers and insurance updates
• Follow up on missing compliance documents by email and support compliance team as needed
• Record and maintain insurance expiration dates; follow up on renewals
• Review and approve subcontractor prequalification insurance certificates
• Confirm and document organization changes (bank account, address, contact info) per internal process
• Support subcontract and insurance audits (document checks, completeness, and status tracking)
• Record Procore/Textura payments in Sage (per internal workflow)
• Record and track pre-liens and maintain logs/status
• File, track and renew local business licenses across multiple states
• Track and report metrics (volume, cycle times, aging, and bottlenecks)

Construction Compliance Specialist

• Leading a portfolio of engagements and projects with our clients; reporting to a Partner
• Contributing to developing the market for Cyber Security services across all sectors and identify sales opportunities and escalating these to senior management
• Establishing client relationships with senior stakeholders across our clients including internal stakeholders
• Working with prospective clients to identify opportunities, scope engagements, and create high quality proposals
• Advocating and championing Cyber Security service both internally to our wider network of colleagues and to our clients and the wider market
• Contributing to the creation of proposals and marketing material
• Managing engagements to time and budget
• Contributing to the development of the existing cyber risk team acting as mentor and coach to the junior members of the team and leading by example
• Contributing to the latest thought-leadership, industry research and creation of marketing collateral relating to cyber security

Consulting Cyber Risk, Compliance & Resilience Associate Director

• Responsible for ensuring the platform’s compliance with U.S. federal and state regulations by monitoring regulatory changes, interpreting legal requirements, and translating them into clear processes, controls, and workflows.
• Manage compliance programs, oversee risk and credentialing requirements, support contract and documentation compliance, and collaborate with cross-functional teams to maintain accuracy, mitigate risks, and drive continuous improvement.
• Monitor state-by-state NP scope of practice laws and requirements.
• Track updates from Boards and legislative bodies.
• Maintain a regulatory change log and alert system.
• Maintain a centralized repository of state requirements.
• Validate against primary sources.
• Conduct periodic audits.
• Build scalable compliance framework.
• Maintain risk register and mitigation plans.
• Conduct license and DEA verification.
• Monitor onboarding compliance requirements.
• Maintain compliant agreement templates.
• Ensure state-specific requirements are reflected.
• Support Product, Ops, and Growth teams.
• Translate regulations into workflows.
• Report on compliance KPIs.
• Conduct audits and improvements.
• Validated state regulatory database.
• Regulatory monitoring system.
• Compliance SOPs.
• License tracking system.
• Risk assessment roadmap.

Compliance Officer

• Responsible for the preparation and overall accuracy and compliance of the statutory financial statements
• Create and analyze Statutory Journal Entries
• Heavily involved in Statutory Year-End Audits
• Maintain documentation in accordance with SOX requirements
• Interact with internal/external related parties

Statutory Reporting and Compliance Analyst

• Project Management for Compliance-related matters globally
• Manage all Compliance Systems
• Develop, manage, implement, and maintain all Compliance Systems
• Ensure the alignment and completeness of IT Projects related to Compliance requirements
• Assist in creation/enhancement of Transaction Monitoring Alerts
• Data analysis for Compliance related matters
• Collect, analyze and interpret information and data to prepare recommendation
• Support internal and external audits and ad hoc information request related to IT Compliance
• Lead automation initiatives to improve processes and streamline Compliance operations
• Coordinate with other business units on Compliance-related matters
• Ensure that the IT Operations end-to-end processes are compliant and updated with relevant regulations
• Conduct IT Compliance testing

IT Compliance Officer

• Support the Chief Compliance Officer in ensuring overall compliance through training programs.
• Ensure employees understand policies and provide continuous learning on anti-money laundering policies and BSP rules.
• Develop training programs and materials for continuous education.
• Create training guides and facilitate customized trainings as necessary.
• Establish process documentation and review compliance documents regularly.

Compliance Training and Documentation Officer

• Performing regular internal audits of processes, systems, and records to identify gaps, risks, or noncompliant areas.
• Staying updated on local, state, and federal laws, as well as industry-specific standards (e.g., GDPR, HIPAA, PCI DSS).
• Updating and implementing company policies to align with new regulations.
• Developing and maintaining risk-mitigation strategies, and investigating potential compliance violations.
• Collecting, analyzing, and summarizing compliance data to prepare detailed reports for management.

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