Compliance Lead for Broker-Dealer & Investment Adviser

About GustoAt Gusto, we are dedicated to empowering the small business economy by taking care of the complexities involved in payroll, health insurance, 401(k)s, and HR. This allows business owners to concentrate on their passion and their customers. With teams located in Denver, San Francisco, and New York, we proudly support over 500,000 small businesses a…

JOIN SPHERE AS A COMPLIANCE LEADAt Sphere, we are revolutionizing trade infrastructure by simplifying compliance, one of the most complex and essential components of global commerce. Just as containerization transformed goods transport and SWIFT enhanced financial transactions, our advanced AI system, TRAM, is set to redefine compliance. It seamlessly ingests and interprets intricate global trade regulations across 190+ jurisdictions, providing compliance determinations that surpass human expertise.We manage the entire compliance lifecycle—calculation, registration, filing, and remittance—delivering results with millisecond latency and zero downtime.Invested by a16z and Y Combinator. Our $21M Series A funding and 30%+ month-over-month growth reflect our success, with clients including ElevenLabs, Replit, Deel, Runway, and Lovable.Small, agile team with a global impact. Each team member is a domain owner, contributing significantly to our mission. Our San Francisco office operates five days a week.Growing complexity in compliance. As we expand into areas like input tax, withholding, e-invoicing, and tariffs, the challenge intensifies. We handle millions of transactions today, with billions on the horizon.ROLE OVERVIEWWe are on the lookout for a dedicated Compliance Lead to oversee the comprehensive indirect tax filing and compliance process across various jurisdictions. This pivotal role involves ensuring timely, precise, and scalable return preparation and review, while implementing processes that mitigate risk and enhance efficiency.As the operational backbone of our tax function, you will take charge of compliance, allowing the broader team to scale effectively.WHAT YOU'LL DOWithin your first days:Collaborate directly with our head of tax on:Managing the monthly and periodic tax filing cycle for thousands of returns.Overseeing timelines, deliverables, and team coordination.Ensuring that all filings are completed accurately and punctually.Within months:Designing and implementing scalable compliance processes.Collaborating with engineering to enhance automation.Streamlining manual efforts while boosting reliability.

Join Anthropic as a Compliance Governance & Oversight Lead, where you will play a pivotal role in shaping the compliance framework that upholds our commitment to ethical AI development. This position offers a unique opportunity to lead compliance initiatives across various facets of our operations.

We are on the lookout for an accomplished Lead Compliance Program Specialist to spearhead and elevate our regulatory compliance efforts. This pivotal role involves ensuring strict adherence to regulatory standards pertaining to payments, financial crime compliance, data privacy, and licensing, with a concentrated emphasis on BSA/AML/CTF compliance and compliance assurance. The ideal candidate will possess a robust background in compliance, risk management, and regulatory affairs within the financial services or fintech sectors. As a vital member of our compliance team, you will collaborate cross-departmentally with Product, Finance, Sales, and Operations teams to devise, implement, and oversee compliance processes. Reporting directly to the Senior Compliance Manager, you will have the chance to leverage your existing expertise while broadening your skill set in a dynamic, innovative, and rapidly growing business environment. This position is an excellent opportunity for a seasoned compliance professional who thrives in a fast-paced setting and is eager to champion compliance excellence.

About the RoleJoin OpenAI as the Senior Global Extended Workforce Compliance Lead, where you will play a pivotal role in shaping and implementing effective compliance frameworks for our extended workforce program. Your expertise will be crucial in supporting OpenAI’s international growth by ensuring our operations align with legal and regulatory standards across various jurisdictions.Reporting directly to the Head of Extended Workforce, you will take charge of compliance strategy execution, governance, and operational excellence within OpenAI’s global ecosystem. Your mission will be to harmonize business dynamics with a robust compliance foundation, crafting clear and scalable guidance that translates legal requirements into actionable insights for diverse workforce engagement models.This is a hands-on position tailored for a proactive individual who excels in navigating ambiguity, simplifying complex compliance challenges for stakeholders, and driving resolutions in a fast-paced environment.As a key leader in operational compliance for our extended workforce initiative, you will collaborate closely with our Legal and Compliance teams on regulatory matters, ensuring alignment without offering legal advice.This role is available in San Francisco, Seattle, New York City, or Washington, DC. We embrace a hybrid work model, promoting three days in-office each week, and offer relocation assistance for new hires.Your Responsibilities:Lead the continuous enhancement of OpenAI’s extended workforce program, focusing on operating models, governance frameworks, and escalation processes.Create and uphold compliance guidance tailored to specific countries, supporting OpenAI’s global operations across different regions.Act as the main point of contact for extended workforce compliance across various regions and engagement styles.Collaborate closely with the Head of Extended Workforce to ensure compliance strategies align with business objectives and risk management.Develop and refine compliance standards, controls, and operational guidance that enhance efficiency and scalability.Ensure compliance frameworks are practical and closely aligned with operational realities.Continuously identify opportunities for improvement and implementation of compliance practices.

Join Mercury as a Senior Counsel specializing in Product & Regulatory aspects for Investment Products. In this pivotal role, you will lead legal guidance on product development and regulatory compliance, ensuring our offerings meet the highest standards of integrity and innovation. Collaborate with cross-functional teams to address complex legal issues and drive strategic initiatives that align with our mission to empower businesses in the financial technology sector.

Join bcforward3 as the R2R Governance, Risk, and Compliance (GRC) Lead, where you will play a crucial role in overseeing and enhancing our governance frameworks. Your expertise will help drive compliance initiatives and mitigate risks across the organization, ensuring we maintain the highest standards of integrity and accountability.

About the Role: As the Global Payroll and Tax Compliance Lead, you will spearhead our payroll operations and ensure compliance with tax regulations across multiple jurisdictions. Your expertise will be crucial in optimizing payroll processes while adhering to local and international laws. You will work closely with cross-functional teams to design and implement payroll strategies that support our rapid growth and global expansion.Your Responsibilities:Oversee payroll processing for employees in various countries, ensuring accuracy and timeliness.Ensure compliance with local, state, and federal tax regulations, including reporting and remittance.Collaborate with HR and Finance teams to streamline payroll systems and procedures.Monitor changes in payroll legislation and implement necessary updates.Provide guidance and training to team members on payroll and tax compliance best practices.

Why Join UsAt Brex, we are revolutionizing the way businesses manage their finances through our AI-driven spend platform. Our integrated solutions encompass corporate cards, banking, and global payments, accompanied by intuitive software for travel and expenses. We proudly serve tens of thousands of businesses, ranging from startups to large enterprises, including notable names like DoorDash, Flexport, and Compass. Our mission is to empower companies to confidently control their spending, optimize costs, and enhance efficiency on a global scale.Joining Brex means pushing boundaries, challenging norms, and collaborating with some of the brightest minds in the industry. We are dedicated to cultivating a diverse and inclusive culture, believing that your potential should only be limited by your ambitions. We provide the necessary tools, resources, and support for you to advance your career.Engineering at BrexOur engineering teams focus on creating scalable systems with speed and precision. We have diverse teams across Software, Data, Security, and IT that work with high autonomy and deep collaboration. We tackle complex technical challenges, take ownership of our outcomes, and strive for excellence in every phase, from architecture to deployment, fostering an environment where engineering is viewed as a craft and innovators become leaders.What You’ll DoAs a Senior GRC Engineer in Brex’s Governance, Risk, and Compliance function, you will play a pivotal role in advancing our compliance maturity. You will expertly merge compliance knowledge with technical execution to spearhead essential GRC processes that mitigate risk, ensure compliance, and cultivate trust with our clients and partners. Your efforts will enhance the technical foundation of our Trust program by automating security controls, integrating security tools with GRC platforms, and creating scalable processes that enable efficient compliance as we enter new markets. You will operate at the crossroads of security, engineering, and compliance, translating regulatory demands into actionable technical solutions while building automated processes that eliminate manual work.Your expertise in frameworks such as SOC 2, PCI DSS, ISO 27001, and AI governance will be essential in designing controls for emerging compliance needs and enhancing existing programs through automation and continuous monitoring. You will support initiatives in Trust Assurance, Third Party Risk Management, and other Security Risk Management projects. By collaborating with our Engineering, Infrastructure, and Product teams, you will help translate compliance frameworks into actionable technical controls, developing automated systems that facilitate world-class security as Brex continues to grow.

Join Appier as an Investment Analyst, where you will engage in strategic analysis and provide insights that drive investment decisions. In this role, you will collaborate with a dynamic team to evaluate investment opportunities, assess market trends, and contribute to our innovative approach to investment management. Your analytical prowess and attention to detail will be crucial in identifying profitable ventures that align with our organizational goals.

We are seeking a visionary and dynamic Director of Investment Products to lead our investment product strategy at Mercury. This role is pivotal in shaping our offerings and driving innovation in the investment landscape. You will be responsible for overseeing product development, enhancing client engagement, and optimizing our investment strategies to align with market trends.As a key member of our leadership team, you will work closely with cross-functional teams to ensure our products meet the evolving needs of our clients while adhering to regulatory standards. Your expertise will be essential in identifying opportunities for growth and differentiation in a competitive market.

Role Overview Harvey is seeking a Lead Compliance Counsel in San Francisco. This role shapes company-wide compliance by developing policies, guiding teams, and ensuring operations meet legal and regulatory standards. The position calls for a leader who can set direction and help build a strong culture of integrity. What You Will Do Lead compliance initiatives across the organization Develop and implement policies to meet legal and regulatory requirements Advise teams to support a culture of compliance and integrity

Join Our Mission at SpotOnAt SpotOn, we are transforming the restaurant technology landscape, empowering independent restaurants with the necessary tools to thrive. Our award-winning point-of-sale systems and AI-driven profit enhancement tools enable operators to increase their profitability, streamline operations, and retain top talent. We are committed to supporting restaurant success with personalized assistance from our dedicated team.Recognized as the #1 Restaurant POS by G2 (Fall 2025), reflecting genuine user feedback.Celebrated as the top-rated point-of-sale (POS) solution for restaurants, bars, retail, and small businesses according to Capterra reviews.Honored as a Great Place to Work and recognized by Built In as one of the Best Workplaces for multiple consecutive years.We operate with speed, dedication, and a passion for championing independent restaurant operators in their pursuits. If you're eager to make a meaningful impact with enthusiasm and dedication, SpotOn is the perfect fit for you.As a Dealer Manager, you will oversee designated dealer relationships to drive revenue growth within the SpotOn Dealer Sales channel. You will act as the primary strategic partner and liaison for dealers, handling all aspects of reselling SpotOn’s software and payment solutions while collaborating with internal sales teams to maximize growth opportunities.Key ResponsibilitiesOversee dealer contracts, quotas, territories, recruitment, and terminations.Serve as the primary regional representative for the SpotOn Dealer Program.Act as the main escalation point for all dealer-related inquiries and issues.Provide education, training, and mentorship to dealers regarding SpotOn products, policies, procedures, and competitive advantages.Assist dealers in lead generation, proposal development, pipeline management, and closing POS opportunities.Collaborate with SpotOn sales channels, referral partners, and sales enablement teams to drive joint revenue results.Maintain expert-level knowledge of all dealer-facing materials, including the Dealer Manual, pricing programs, authorized dealer lists, product documentation, and training resources.Ensure timely, professional, and high-quality communication with all dealers and prospective dealers.

Arta Finance combines expertise in product development, machine learning, and finance to make personal finance more accessible and intuitive. The team creates technology that empowers individuals to take control of their financial future, blending advanced tools with a focus on the human experience. Role overview The Senior Investment Advisor position is based in the Bay Area and centers on guiding U.S. clients through complex financial planning. This advisor works directly with clients to design and implement multi-asset portfolios, develop tailored financial strategies, and support clients at each stage of their financial journey. Close collaboration with product specialists and other internal teams is essential for delivering effective portfolio solutions. What you will do Meet with clients to understand their financial goals, risk preferences, investment timelines, tax situations, and overall financial picture. Design personalized strategies and portfolios across equities, fixed income, alternatives, and structured products to fit client objectives. Oversee client portfolios by executing investment strategies, monitoring performance, and conducting regular reviews to ensure alignment with goals. Explain investment options, asset allocation, portfolio risks, performance measures, and market outlooks. Prepare market and investment materials as needed. Build and maintain strong client relationships through regular meetings, timely responses, and attentive service. Stay informed about capital market trends, economic developments, regulatory changes, new investment products, and competitor offerings to provide relevant advice. Ensure all advisory work complies with regulatory standards and fiduciary responsibilities. Collaborate with internal teams in operations, compliance, product, and research to deliver seamless service and enhance the client experience. Stay current on product offerings and participate in ongoing training.

COMPANY OVERVIEWKKR & Co. Inc. is a premier global investment firm that specializes in alternative asset management, capital markets, and insurance solutions. Our mission is to achieve compelling investment returns by adhering to a patient and disciplined investment strategy, employing top-tier talent, and fostering growth within our portfolio companies and communities. We sponsor investment funds that focus on private equity, credit, and real assets, and have strategic partnerships managing hedge funds. KKR’s insurance subsidiaries provide a range of retirement, life, and reinsurance products through Global Atlantic Financial Group.POSITION SUMMARYWe are seeking an enthusiastic Investment Data Operations Analyst to join our dynamic data management team within the Global Data Operations division. This role is positioned within the Investment Data Operations (IDO) team and plays a critical role in supporting our enterprise, with a primary focus on Credit and Insurance strategies.This position is based in San Francisco and reports directly to the VP of Investment Data Operations.The ideal candidate will possess foundational experience in security master and daily pricing operations, particularly with debt instruments and bank loans. This is a hands-on, execution-oriented role that prioritizes accurate asset setup and daily pricing controls while providing opportunities for involvement in broader data initiatives over time.We are looking for someone with 1-3 years of experience in investment operations, ideally within an alternative investment firm, insurance company, or fund administrator. A solid understanding of middle- and back-office workflows is essential, especially regarding how security master and pricing data influence accounting, risk, and reporting processes.Successful candidates will be detail-oriented, thrive in a fast-paced environment, and be willing to engage deeply with operational workflows. An ability to independently investigate and resolve data issues is crucial. Technological curiosity, particularly in SQL-based environments and a desire to leverage automation and AI tools to enhance operational efficiency, will set candidates apart. Strong communication skills and a collaborative mindset are essential for effective teamwork across our global teams.We are committed to operational excellence and providing our investment and business operations colleagues with high-quality, reliable data to facilitate investment execution across the firm. Our small, collaborative teams operate within a global investment platform, offering meaningful exposure, learning opportunities, and pathways for long-term career development.

Join Side and Shape the Future of Real Estate.At Side, we empower talented real estate professionals to establish and manage their own boutique real estate firms, simplifying the complexities of a traditional brokerage. As a trailblazer in the Brokerage-as-a-Service model, we offer a proprietary platform designed to enhance efficiency, foster strong client relationships, and allow entrepreneurs to concentrate on their strengths — selling real estate and expanding their businesses.Based in the vibrant city of San Francisco and supported by over $300 million from leading venture capitalists, Side is celebrated as one of the most innovative and rapidly growing companies within the real estate sector. At Side, you will collaborate with seasoned industry leaders and top-tier engineers, contributing to a transformative approach in the real estate landscape and enabling exceptional professionals to thrive as business owners.As a Managing Broker, you will play a vital role in driving Side's corporate and brokerage vision forward, focusing on transaction management, compliance, market expansion, and partner engagement. This position demands proficiency in supporting high-performing agents and teams, overseeing brokerage operations in your markets, and ensuring adherence to all regulatory standards. You will actively work to enhance the experience of current partners while engaging proactively with the broader real estate community to bolster Side's reputation and identify potential new partners.

Join Our Team as an Undergraduate Intern in Growth InvestmentsNovo Holdings, a leader in managing significant investments for the Novo Nordisk Foundation, is looking for a motivated Undergraduate Intern to assist our Growth Investments team. This role will be pivotal in supporting our investment activities in the North American healthcare and life sciences sectors during the spring and/or fall semester.At Novo Holdings, we are dedicated to enhancing global health and sustainability by delivering attractive long-term returns. As the sole owner of Novo Nordisk Foundation, we manage a diverse portfolio that includes private equity, equities, bonds, real estate, and infrastructure assets across various stages of company development.As of 2024, our assets are valued at approximately USD 148 billion, reflecting our commitment to impactful investments. Learn more about us at www.novoholdings.dk.Your RoleAs an intern, you will collaborate with the Growth Investments team in Boston, focusing on North American investments. This position offers a competitive pay rate of $26/hour.Your responsibilities will include:Conducting market research to identify new investment opportunities within various industriesPerforming financial analyses to evaluate potential deals and support strategic initiatives of current portfolio companiesAssisting with due diligence processes for new investment prospectsPreparing materials for the investment committee and drafting internal memoranda on existing and potential investmentsSupporting the management of team CRM systems and vendor platformsOur CultureAt Novo Holdings, we foster a respectful and collaborative workplace where all voices are heard. We celebrate diversity, equity, and inclusion, welcoming individuals from all backgrounds and identities.

Join BITKRAFT Ventures as a Principal in our Equity Investment Team! As a global leader in early-stage investments focused on the dynamic intersections of gaming, Web3, and immersive technologies, BITKRAFT Ventures is excited to welcome a passionate Principal to our innovative team. With over $1 billion in assets under management and a diverse portfolio of 130+ companies, we empower visionary founders to shape the future of interactive entertainment and digital economies. At BITKRAFT, we are a diverse, distributed team united by a common mission: to identify and support groundbreaking startups that will redefine virtual worlds, economies, and experiences. Our focus is on early-stage investments that drive the convergence of physical and digital realities—what we call Synthetic Reality. We are eager to meet candidates who are enthusiastic about the future of gaming and immersive technologies, and who are keen to contribute to our fast-growing, dynamic team. THE OPPORTUNITY We are seeking a Principal to lead our Equity investment initiatives. In this pivotal role, you will be responsible for driving deal origination, managing and executing venture capital transactions, and providing strategic support to our portfolio companies. This position is ideal for someone who excels in process management, establishes best practices in analytical and investment frameworks, shapes strategic direction, serves as the primary contact for portfolio company founders, and mentors junior team members. A genuine passion for startups, venture capital, and the gaming industry is essential. YOUR RESPONSIBILITIES Transaction Management: Oversee all stages of investment—from origination and evaluation through to execution. Assess potential deals, create financial models, and collaborate with BITKRAFT partners on final investment decisions. Portfolio Oversight: Manage portfolio companies, including KPI tracking, financial reporting, strategy reviews, and identifying key support areas. Represent BITKRAFT in board roles as necessary. Deal Origination & Networking: Build and nurture relationships within the startup and venture capital community to uncover new investment opportunities and partnerships for portfolio companies, serving as a prominent ambassador for BITKRAFT. Market Insights & Research: Help establish research, thesis, and content development agendas. Develop expertise in key sectors and formulate data-driven investment theses to identify emerging opportunities.

Role overview Crusoe Technologies seeks a Senior Investment Analyst based in San Francisco, CA. This role centers on supporting the company’s strategic investment decisions through detailed research and analysis. The analyst will partner with teams across the organization to help shape financial outcomes. What you will do Carry out thorough market analysis to spot trends and emerging opportunities Assess potential investments by collecting and interpreting financial data Work with colleagues from various departments to inform investment decisions Offer insights that contribute to the company’s financial performance

BITKRAFT Ventures BITKRAFT Ventures stands at the forefront of early-stage investments, specializing in the dynamic realms of gaming, Web3, and immersive technologies. With over $1 billion in assets under management and a portfolio of more than 130 innovative companies, we are committed to empowering visionary founders who are shaping the future of interactive entertainment and digital economies. As a diverse and globally distributed team, we share a unified mission: to discover and nurture groundbreaking startups that will redefine virtual worlds, economies, and experiences. Our focus on early-stage investments enables us to drive the convergence of physical and digital realities, a concept we refer to as Synthetic Reality. We are eager to connect with candidates who are enthusiastic about influencing the future of gaming and immersive technologies and are ready to become part of our vibrant and fast-growing team. THE OPPORTUNITY Venture Capital Transactions and Deal Flow: In this role, you will actively engage with the deal team to evaluate investment opportunities by meticulously assessing founder teams, strategic alignment with BITKRAFT, market potential, competitive landscape, product KPIs, and customer feedback. Your diligence will be supported by your industry network of contacts, experts, and venture investors. You will develop models and documentation to substantiate your findings and collaborate with BITKRAFT’s Partners to finalize investment decisions. Portfolio Management: You will oversee and contribute to BITKRAFT’s portfolio management efforts, including monitoring KPIs, tracking business plans, evaluating fundraising initiatives, analyzing monthly financial reports, and reviewing strategic plans to identify areas where BITKRAFT can provide support. Deal Origination: You will cultivate robust relationships within the startup and venture capital ecosystem, acting as an ambassador for BITKRAFT. This involves identifying new investment prospects as part of our deal flow and leveraging your network to discover exceptional founding teams. Market Trends and Research: You will independently develop expertise in emerging sectors, uncover promising business models, and propose your own investment theses.