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Ready to be pushed beyond what you think you're capable of? At Coinbase, our mission is to increase economic freedom in the world. It's a massive, ambitious opportunity that demands the best of us, every day, as we build the emerging onchain platform - and with it, the future global financial system. To achieve our mission, we're seeking a very specific candidate. We want someone who is passionate about our mission and who believes in the power of crypto and blockchain technology to update the financial system. We want someone who is eager to leave their mark on the world, who relishes the pressure and privilege of working with high caliber colleagues, and who actively seeks feedback to keep leveling up. We want someone who will run towards, not away from, solving the company's hardest problems. Our work culture is intense and isn't for everyone. But if you want to build the future alongside others who excel in their disciplines and expect the same from you, there's no better place to be. The CX Compliance team is essential in ensuring that our global CX Compliance Operations function efficiently, comply with regulatory requirements, and consistently deliver high-quality resolutions. As a Senior Analyst, Compliance TMS Quality Operations within the CX Compliance team, you will be responsible for conducting a review of end-to-end investigations for customers (individuals/entities). You will work extensively with functional leaders in the Financial Crime Risk Service line and support functions to maintain production and quality of the highest standard. You will work independently, prioritizing multiple tasks with minimal guidance, and remain open to feedback from all levels as well as deliver feedback to agents to drive continuous improvement in compliance handling. What you'll be doing: <ul><li>Minimum of 3 years of relevant experience in financial services, crypto, investigations, legal, or the tech industry, with a focus on AML, compliance, or regulatory matters.</li><li>Minimum of 3 years of relevant experience in quality review and control framework.</li><li>Conduct investigative review and analysis in support of company's BSA/AML regulatory compliance policies and programs including investigating automated alerts from our transaction monitoring systems, and referrals sourced from law enforcement requests and other company lines of business</li><li>Gather and analyze transaction activity and KYC information and conduct due diligence research in support of investigations as well as interpret evidence from external tools and systems to determine the legitimacy of customer behavior across multiple products</li><li>Document investigations in appropriate channels and in written narratives as necessary</li><li>Incorporate feedback from Quality Assurance Team</li><li>Maintain detailed documentation to demonstrate compliance with regulations and internal policies and procedures </li><li>Remain current with industry standards and developments in the areas of KYC, BSA/AML, and OFAC, and apply regulatory requirements and internal policies and procedures to investigations</li><li>Review data from systems and following Coinbase procedures to investigate, decide, and document identifiable alerts</li></ul>What we look for in you: <ul><li>Strong interpersonal, analytical, and communication (verbal and written) skills</li><li>Experience working with Google Sheet, Google Doc, Excel, Word</li><li>Flexible and adaptable to the evolving needs of a high-growth and fast paced organization environment</li><li>Ready to support in 24*7 environment</li><li>Organized with a High level of attention to detail</li></ul>Nice to haves: <ul><li>Professional certification in AML or Fraud (e.g. CAMS, CFCS, CFE) </li><li>Experience in project management, analytics, or vendor management</li><li>Advanced degree in business, finance, or customer experience (CX)</li><li>Proficiency with tools such as Google apps, JIRA, Hummingbird, and Salesforce Service Cloud.</li><li>Experience collaborating with external outsource business partners</li></ul>Note: This role requires full-time, in-office presence at our Charlotte location. In order to support the 24/7 nature of cryptocurrency, shifts may include weekend and night. Job #: G2731 #LI-Onsite Pay Transparency Notice: Depending on your work location, the target annual salary for this position can range as detailed below. Full time offers from Coinbase also include target bonus + target equity + benefits (including medical, dental, vision and 401(k)). Pay Range: $99,365-$99,365 USD Please be advised that each candidate may submit a maximum of four applications within any 30-day period. We encourage you to carefully evaluate how your skills and interests align with Coinbase's roles before applying. Commitment to Equal Opportunity Coinbase is committed to diversity in its workforce and is proud to be an Equal Opportunity Employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, creed, gender, national origin, age, disability, veteran status, sex, gender expression or identity, sexual orientation or any other basis protected by applicable law. Coinbase will also consider for employment qualified applicants with criminal histories in a manner consistent with applicable federal, state and local law. For US applicants, you may view the Know Your Rights notice here. Additionally, Coinbase participates in the E-Verify program in certain locations, as required by law. Coinbase is also committed to providing reasonable accommodations to individuals with disabilities. If you need a reasonable accommodation because of a disability for any part of the employment process, please contact us at accommodations[at]coinbase.com to let us know the nature of your request and your contact information. For quick access to screen reading technology compatible with this site click here to download a free compatible screen reader (free step by step tutorial can be found here). Global Data Privacy Notice for Job Candidates and Applicants Depending on your location, the General Data Protection Regulation (GDPR) and California Consumer Privacy Act (CCPA) may regulate the way we manage the data of job applicants. Our full notice outlining how data will be processed as part of the application procedure for applicable locations is available here. By submitting your application, you are agreeing to our use and processing of your data as required. For US applicants only, by submitting your application you are agreeing to arbitration of disputes as outlined here.

Senior TMS Quality Compliance Analyst

Ready to be pushed beyond what you think you're capable of? At Coinbase, our mission is to increase economic freedom in the world. It's a massive, ambitious opportunity that demands the best of us, every day, as we build the emerging onchain platform - and with it, the future global financial system. To achieve our mission, we're seeking a very specific candidate. We want someone who is passionate about our mission and who believes in the power of crypto and blockchain technology to update the financial system. We want someone who is eager to leave their mark on the world, who relishes the pressure and privilege of working with high caliber colleagues, and who actively seeks feedback to keep leveling up. We want someone who will run towards, not away from, solving the company's hardest problems. Our work culture is intense and isn't for everyone. But if you want to build the future alongside others who excel in their disciplines and expect the same from you, there's no better place to be. The CX Compliance team is essential in ensuring that our global CX Compliance Operations function efficiently, comply with regulatory requirements, and consistently deliver high-quality resolutions. As a Senior Analyst, Compliance TMS Operations within the CX Compliance team, you will be responsible for conducting end-to-end Transaction Monitoring investigations for customers (individuals/entities) that may lead to drafting and filing a SAR. You will work extensively with functional leaders in the Financial Crime Risk Service line and support functions to maintain production and quality of the highest standard. You will work independently, prioritizing multiple tasks with minimal guidance, and remain open to feedback from all levels to drive continuous improvement in compliance handling. What you'll be doing: <ul><li>Minimum of 3 years of relevant experience in financial services, crypto, investigations, legal, or the tech industry, with a focus on TMS, compliance, or regulatory matters.</li><li>Relevant experience in SAR narrative drafting and filing</li><li>Conduct investigative review and analysis in support of company's BSA/AML regulatory compliance policies and programs including investigating automated alerts from our transaction monitoring systems, and referrals sourced from law enforcement requests and other company lines of business</li><li>Analyze transaction activity and KYC information and conduct due diligence research in support of investigations as well as interpret evidence from external tools and systems to determine the legitimacy of customer behavior across multiple products</li><li>Document investigations in written narratives</li><li>Decide whether activity warrants escalation for additional review and subsequently recommend whether activity appears suspicious and warrants filing of a suspicious activity report</li><li>Incorporate feedback from Quality Assurance Team</li><li>Maintain detailed documentation to demonstrate compliance with regulations and internal policies and procedures </li><li>Remain current with industry standards and developments in the areas of KYC, BSA/AML, and OFAC, and apply regulatory requirements and internal policies and procedures to case investigation</li><li>Review data from systems and following Coinbase procedures to investigate, decide, and document transaction monitoring alerts</li></ul>What we look for in you: <ul><li>Strong interpersonal, analytical, and communication (verbal and written) skills</li><li>Experience working with Google Sheet, Google Doc, Excel, Word</li><li>Flexible and adaptable to the evolving needs of a high-growth and fast paced organization environment</li><li>Ready to support in 24*7 environment</li><li> Organized with a High level of attention to detail</li></ul>Nice to haves: <ul><li>Professional certification in AML or Fraud (e.g. CAMS, CFCS, CFE) </li><li>Experience in project management, analytics, or vendor management</li><li>Advanced degree in business, finance, or customer experience (CX)</li><li>Proficiency with tools such as Google apps, JIRA, Hummingbird, and Salesforce Service Cloud.</li><li>Experience collaborating with external outsource business partners</li></ul>Note: This role requires full-time, in-office presence at our Charlotte location. In order to support the 24/7 nature of cryptocurrency, shifts may include weekend and night. Job #: G2731 #LI-Onsite Pay Transparency Notice: Depending on your work location, the target annual salary for this position can range as detailed below. Full time offers from Coinbase also include target bonus + target equity + benefits (including medical, dental, vision and 401(k)). Pay Range: $99,365-$99,365 USD Please be advised that each candidate may submit a maximum of four applications within any 30-day period. We encourage you to carefully evaluate how your skills and interests align with Coinbase's roles before applying. Commitment to Equal Opportunity Coinbase is committed to diversity in its workforce and is proud to be an Equal Opportunity Employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, creed, gender, national origin, age, disability, veteran status, sex, gender expression or identity, sexual orientation or any other basis protected by applicable law. Coinbase will also consider for employment qualified applicants with criminal histories in a manner consistent with applicable federal, state and local law. For US applicants, you may view the Know Your Rights notice here. Additionally, Coinbase participates in the E-Verify program in certain locations, as required by law. Coinbase is also committed to providing reasonable accommodations to individuals with disabilities. If you need a reasonable accommodation because of a disability for any part of the employment process, please contact us at accommodations[at]coinbase.com to let us know the nature of your request and your contact information. For quick access to screen reading technology compatible with this site click here to download a free compatible screen reader (free step by step tutorial can be found here). Global Data Privacy Notice for Job Candidates and Applicants Depending on your location, the General Data Protection Regulation (GDPR) and California Consumer Privacy Act (CCPA) may regulate the way we manage the data of job applicants. Our full notice outlining how data will be processed as part of the application procedure for applicable locations is available here. By submitting your application, you are agreeing to our use and processing of your data as required. For US applicants only, by submitting your application you are agreeing to arbitration of disputes as outlined here.

Senior TMS Compliance Analyst

Ready to be pushed beyond what you think you're capable of? At Coinbase, our mission is to increase economic freedom in the world. It's a massive, ambitious opportunity that demands the best of us, every day, as we build the emerging onchain platform - and with it, the future global financial system. To achieve our mission, we're seeking a very specific candidate. We want someone who is passionate about our mission and who believes in the power of crypto and blockchain technology to update the financial system. We want someone who is eager to leave their mark on the world, who relishes the pressure and privilege of working with high caliber colleagues, and who actively seeks feedback to keep leveling up. We want someone who will run towards, not away from, solving the company's hardest problems. Our work culture is intense and isn't for everyone. But if you want to build the future alongside others who excel in their disciplines and expect the same from you, there's no better place to be. The CX Compliance team is essential in ensuring that our global CX Compliance Operations function efficiently, comply with regulatory requirements, and consistently deliver high-quality resolutions. As a Senior Analyst, Compliance EDD Operations within the CX Compliance team, you will be responsible for conducting end-to-end investigations for customers (individuals/entities). You will work extensively with functional leaders in the Financial Crime Risk Service line and support functions to maintain production and quality of the highest standard. You will work independently, prioritizing multiple tasks with minimal guidance, and remain open to feedback from all levels to drive continuous improvement in compliance handling. What you'll be doing: <ul><li>Minimum of 3 years of relevant experience in financial services, crypto, investigations, legal, or the tech industry, with a focus on EDD/KYC, compliance, or regulatory matters.</li><li>Conduct investigative review and analysis in support of company's BSA/AML regulatory compliance policies and programs including investigating automated alerts from our transaction monitoring systems, and referrals sourced from law enforcement requests and other company lines of business</li><li>Gather and analyze transaction activity and KYC information and conduct due diligence research in support of investigations as well as interpret evidence from external tools and systems to determine the legitimacy of customer behavior across multiple products</li><li>Document investigations in appropriate channels and in written narratives as necessary</li><li>Incorporate feedback from Quality Assurance Team</li><li>Maintain detailed documentation to demonstrate compliance with regulations and internal policies and procedures </li><li>Remain current with industry standards and developments in the areas of KYC, BSA/AML, and OFAC, and apply regulatory requirements and internal policies and procedures to investigations</li><li>Review data from systems and following Coinbase procedures to investigate, decide, and document identifiable alerts</li></ul>What we look for in you: <ul><li>Strong interpersonal, analytical, and communication (verbal and written) skills</li><li>Experience working with Google Sheet, Google Doc, Excel, Word</li><li>Flexible and adaptable to the evolving needs of a high-growth and fast paced organization environment</li><li>Ready to support in 24*7 environment</li><li>Organized with a High level of attention to detail</li></ul>Nice to haves: <ul><li>Professional certification in AML or Fraud (e.g. CAMS, CFCS, CFE) </li><li>Experience in project management, analytics, or vendor management</li><li>Advanced degree in business, finance, or customer experience (CX)</li><li>Proficiency with tools such as Google apps, JIRA, Hummingbird, and Salesforce Service Cloud.</li><li>Experience collaborating with external outsource business partners</li></ul>Note: This role requires full-time, in-office presence at our Charlotte location. In order to support the 24/7 nature of cryptocurrency, shifts may include weekend and night. Job #: G2712 #LI-Onsite Pay Transparency Notice: Depending on your work location, the target annual salary for this position can range as detailed below. Full time offers from Coinbase also include target bonus + target equity + benefits (including medical, dental, vision and 401(k)). Pay Range: $99,365-$99,365 USD Please be advised that each candidate may submit a maximum of four applications within any 30-day period. We encourage you to carefully evaluate how your skills and interests align with Coinbase's roles before applying. Commitment to Equal Opportunity Coinbase is committed to diversity in its workforce and is proud to be an Equal Opportunity Employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, creed, gender, national origin, age, disability, veteran status, sex, gender expression or identity, sexual orientation or any other basis protected by applicable law. Coinbase will also consider for employment qualified applicants with criminal histories in a manner consistent with applicable federal, state and local law. For US applicants, you may view the Know Your Rights notice here. Additionally, Coinbase participates in the E-Verify program in certain locations, as required by law. Coinbase is also committed to providing reasonable accommodations to individuals with disabilities. If you need a reasonable accommodation because of a disability for any part of the employment process, please contact us at accommodations[at]coinbase.com to let us know the nature of your request and your contact information. For quick access to screen reading technology compatible with this site click here to download a free compatible screen reader (free step by step tutorial can be found here). Global Data Privacy Notice for Job Candidates and Applicants Depending on your location, the General Data Protection Regulation (GDPR) and California Consumer Privacy Act (CCPA) may regulate the way we manage the data of job applicants. Our full notice outlining how data will be processed as part of the application procedure for applicable locations is available here. By submitting your application, you are agreeing to our use and processing of your data as required. For US applicants only, by submitting your application you are agreeing to arbitration of disputes as outlined here.

Senior EDD Compliance Analyst

FINANCIAL CRIMES ANALYST SENIOR I WHAT IS THE OPPORTUNITY? Under the direction of the BSA Risk Manager, this colleague is responsible for carrying out regulatory/compliance issuance monitoring, risk assessments, and internal controls testing ensuring that there are adequate processes, procedures and internal controls to promote an effective BSA control environment. Responsible for monitoring, analyzing, and escalating issues and concerns related to BSA, AML, OFAC and the USA PATRIOT Act components of the Bank's BSA Program while utilizing sound and current compliance industry standards and practices. Develop new and/or updates policy and procedures related to BSA, AML, OFAC and the USA PATRIOT Act Bank wide. Plays a key role as a liaison with colleagues throughout the organization related to BSA, AML, OFAC and the USA PATRIOT Act. Responsible for building and maintaining relationships with internal and external customers while providing exemplary customer service. Functions as a backup to the BSA Risk Officer in specific areas as necessary. What you will do <ul><li>Program Governance Role: ° Support Financial Crimes Compliance Program Governance, including Training, Issue Management, and Reporting. ° Support procedural development and maintenance ° Assesses controls for design and operating effectiveness in accordance with established policies, standards and procedures ° Exercises independent judgment in identifying issues and assessing risk ° Develop and deliver training program and materials, including oversight. ° Support issue management including stakeholder engagement and tracking and monitoring ° Maintain authoritative knowledge and understanding of laws and regulations, regulatory guidance, policy, and procedures for operational functions covered/tested ° Assist risk management team with departmental initiatives and other duties as assigned.</li><li>Carries out regulatory/compliance issuances monitoring, risk assessments, and internal controls testing ensuring that there are adequate processes, procedures and internal controls to promote an effective BSA control environment, under the guidance of the BSA Risk Manager.</li><li>Analyzes and escalates issues and concerns related to BSA, AML, OFAC and the USA PATRIOT Act components of the Bank's BSA Program while utilizing sound and current compliance industry standards and practices.</li><li>Identify gaps and deficiencies in related BSA functions, processes, policies and procedures as well as create and implement corrective actions and track gap remediation.</li><li>Develops and presents training to assist in gap remediation and required enhancements.</li><li>Communicates and escalates (as assigned) identified BSA, AML, OFAC and USA PATRIOT Act operational concerns to the appropriate level of management.</li><li>Completes special projects as assigned.</li><li>Attends internal and external meetings, seminars, workshops, etc. to expand professional expertise.</li><li>Maintains up-to-date knowledge of Bank policies, procedures and industry best practices.</li></ul>Must-Have* <ul><li>Bachelor's Degree or equivalent</li><li>Minimum 5 years of Banking industry experience</li><li>Minimum 4 years of experience in a BSA/OFAC specific role (such as those involving KYC, EDD, financial crime investigations, compliance) at a financial institution</li><li>ACAMS Current Certified Anti-Money Laundering Specialist (CAMS) Certification</li></ul>Skills and Knowledge <ul><li>Working knowledge of banking operations and Bank Secrecy Act/Office of Foreign Assets Control regulations</li><li>Prior broker/dealer experience preferred</li><li>Experience using Microsoft Word, Excel and Access required.</li><li>Knowledge and understanding of federal regulations pertaining to the Bank Secrecy Act and Office of Foreign Assets Control required.</li><li>Excellent problem solving and analytical skills required.</li><li>Excellent verbal/written and written communication skills required to interact with all levels of Bank personnel and outside contacts.</li><li>Experience with quality control, audit or compliance testing is preferred.</li><li>Familiar with FINRA and SEC AML rules and regulations</li><li>Experience with investor platforms Netx360 and Wealthscape</li><li>Experience with Bridger, Equifax and Lexus Nexus</li><li>Experience with Actimize</li></ul>Compensation Starting base salary: $71,869 - $114,797 per year. Exact compensation may vary based on skills, experience, and location. This job is eligible for bonus and/or commissions. *To be considered for this position you must meet at least these basic qualifications The preceding job description has been designed to indicate the general nature and level of work performed by employees within this classification. It is not designed to contain or be interpreted as a comprehensive inventory of all duties, responsibilities, and qualifications required of employees assigned to this job. Benefits and Perks At City National, we strive to be the best at whatever we do, including the benefits and perks we offer our colleagues. Get an inside look at our Benefits and Perks. ABOUT CITY NATIONAL City National Bank, a subsidiary of Royal Bank of Canada, is the largest bank headquartered in Los Angeles with $92.03 billion in assets as of April 30, 2024. Founded in 1954, City National provides personalized banking, investment and trust services in select markets including Los Angeles, Orange County, San Diego, the San Francisco Bay Area, New York City, Nashville, Atlanta, Delaware, Las Vegas, Washington D.C. and Miami.* In addition, the company and its investment affiliates manage or administer $96.83 billion in client investment assets. City National is dedicated to strengthening communities, and in 2023 alone, the company made more than $11 million in charitable contributions to nonprofits that support the communities it serves. *City National Bank does business in Miami and the state of Florida as CN Bank. For more information about City National, visit cnb.com. EQUAL OPPORTUNITY EMPLOYER &amp; REASONABLE ACCOMMODATION City National Bank is an equal opportunity employer committed to promoting and maintaining a diverse, equitable and inclusive working environment where differences are valued and encouraged. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, veteran status or any other basis protected by the laws or regulations in the locations where we operate or in our Code of Conduct. READ MORE If you are a qualified individual with a disability or a disabled veteran, you have the right to request a reasonable accommodation for any part of the employment process. Please contact us via email or leave a message at (213) 673-9139. These contact methods are dedicated to applicants whose disability prevents them from successfully applying online. Only messages left for this purpose will be returned. Responses may take up to two business days.

Financial Crimes Analyst Senior I

Ready to be pushed beyond what you think you're capable of? At Coinbase, our mission is to increase economic freedom in the world. It's a massive, ambitious opportunity that demands the best of us, every day, as we build the emerging onchain platform - and with it, the future global financial system. To achieve our mission, we're seeking a very specific candidate. We want someone who is passionate about our mission and who believes in the power of crypto and blockchain technology to update the financial system. We want someone who is eager to leave their mark on the world, who relishes the pressure and privilege of working with high caliber colleagues, and who actively seeks feedback to keep leveling up. We want someone who will run towards, not away from, solving the company's hardest problems. Our work culture is intense and isn't for everyone. But if you want to build the future alongside others who excel in their disciplines and expect the same from you, there's no better place to be. The CX Compliance team is essential in ensuring that our global CX Compliance Operations function efficiently, comply with regulatory requirements, and consistently deliver high-quality resolutions. As a Senior Analyst, Compliance TMS Quality Operations within the CX Compliance team, you will be responsible for conducting a review of end-to-end investigations for customers (individuals/entities). You will work extensively with functional leaders in the Financial Crime Risk Service line and support functions to maintain production and quality of the highest standard. You will work independently, prioritizing multiple tasks with minimal guidance, and remain open to feedback from all levels as well as deliver feedback to agents to drive continuous improvement in compliance handling. What you'll be doing: <ul><li>Minimum of 2 years of relevant experience in financial services, crypto, investigations, legal, or the tech industry, with a focus on AML, compliance, or regulatory matters.</li><li>Minimum of 2 years of relevant experience in quality review and control framework.</li><li>Conduct investigative review and analysis in support of company's BSA/AML regulatory compliance policies and programs including investigating automated alerts from our transaction monitoring systems, and referrals sourced from law enforcement requests and other company lines of business</li><li>Gather and analyze transaction activity and KYC information and conduct due diligence research in support of investigations as well as interpret evidence from external tools and systems to determine the legitimacy of customer behavior across multiple products</li><li>Document investigations in appropriate channels and in written narratives as necessary</li><li>Incorporate feedback from Quality Assurance Team</li><li>Maintain detailed documentation to demonstrate compliance with regulations and internal policies and procedures </li><li>Remain current with industry standards and developments in the areas of KYC, BSA/AML, and OFAC, and apply regulatory requirements and internal policies and procedures to investigations</li><li>Review data from systems and following Coinbase procedures to investigate, decide, and document identifiable alerts</li></ul>What we look for in you: <ul><li>Strong interpersonal, analytical, and communication (verbal and written) skills</li><li>Experience working with Google Sheet, Google Doc, Excel, Word</li><li>Flexible and adaptable to the evolving needs of a high-growth and fast paced organization environment</li><li>Ready to support in 24*7 environment</li><li>Organized with a High level of attention to detail</li></ul>Nice to haves: <ul><li>Professional certification in AML or Fraud (e.g. CAMS, CFCS, CFE) </li><li>Experience in project management, analytics, or vendor management</li><li>Advanced degree in business, finance, or customer experience (CX)</li><li>Proficiency with tools such as Google apps, JIRA, Hummingbird, and Salesforce Service Cloud.</li><li>Experience collaborating with external outsource business partners</li></ul>Note: This role requires full-time, in-office presence at our Charlotte location. In order to support the 24/7 nature of cryptocurrency, shifts may include weekend and night. Job #: G2713 #LI-Onsite Pay Transparency Notice: Depending on your work location, the target annual salary for this position can range as detailed below. Full time offers from Coinbase also include target bonus + target equity + benefits (including medical, dental, vision and 401(k)). Pay Range: $41.27-$41.27 USD Please be advised that each candidate may submit a maximum of four applications within any 30-day period. We encourage you to carefully evaluate how your skills and interests align with Coinbase's roles before applying. Commitment to Equal Opportunity Coinbase is committed to diversity in its workforce and is proud to be an Equal Opportunity Employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, creed, gender, national origin, age, disability, veteran status, sex, gender expression or identity, sexual orientation or any other basis protected by applicable law. Coinbase will also consider for employment qualified applicants with criminal histories in a manner consistent with applicable federal, state and local law. For US applicants, you may view the Know Your Rights notice here. Additionally, Coinbase participates in the E-Verify program in certain locations, as required by law. Coinbase is also committed to providing reasonable accommodations to individuals with disabilities. If you need a reasonable accommodation because of a disability for any part of the employment process, please contact us at accommodations[at]coinbase.com to let us know the nature of your request and your contact information. For quick access to screen reading technology compatible with this site click here to download a free compatible screen reader (free step by step tutorial can be found here). Global Data Privacy Notice for Job Candidates and Applicants Depending on your location, the General Data Protection Regulation (GDPR) and California Consumer Privacy Act (CCPA) may regulate the way we manage the data of job applicants. Our full notice outlining how data will be processed as part of the application procedure for applicable locations is available here. By submitting your application, you are agreeing to our use and processing of your data as required. For US applicants only, by submitting your application you are agreeing to arbitration of disputes as outlined here.

TMS Quality Compliance Analyst III

The Senior Analyst, Compliance Operations/Information Lifecycle Management, will primarily be responsible for performing second-line controls intended to provide oversight of the firm's regulatory Books and Records requirements. Additionally, the Senior Analyst will contribute to the Firm's overall risk mitigation efforts by supporting the identification, assessment, documentation, and correction of operational and regulatory risks that are a result of failed internal processes, systems or controls, particularly with regard to leveraged technology. The right candidate will have an ability to mitigate risk and enforce compliance, a passion for technology, and an innate desire to continuously learn, improve, and evolve. They will have the courage and skillset necessary to solve complex business problems in an efficient and collaborative manner. Additionally, they will strive to be a Subject Matter Expert in risk identification, assessment, mitigation and will maintain a high level of knowledge, expertise and practice within this capacity. About CLR The Compliance, Legal &amp; Risk (CLR) team is focused on delivering an industry-leading client service and risk management experience by providing advisors and our internal business partners with proactive guidance, advice, advocacy and consultative partnerships. Essential Functions: <ul><li>Support all technology related aspects of an effective and compliant Books and Records management program, including ongoing oversight of record ingestion into the Firm's electronic storage media, gap remediation when necessary, the establishment and testing of new ingestion processes, and other tasks related to the firm's official electronic repositories</li><li>Assess risk to the firm's recordkeeping obligation resulting from new and changes to business processes, policies, regulations, LPL offered products, vendors, technology infrastructure and enhancements to systems and applications</li><li>Analyze new record types, or changes to existing record types, to provide input on archival requirements, including identification of all regulatory requirements/rules, assigning appropriate retention, specifying required metadata, confirming retrievability, and ensuring the firm's Records Inventory is updated accordingly</li><li>Clearly communicate the risks associated with the performance of controls to leadership, technology, business owners and other stakeholders</li><li>Effectively build and execute processes and controls designed to manage an effective Books and Records compliance program and continue to assess and strengthen these processes</li><li>Work closely with subject matter experts and senior leaders across the entire organization through the annual process of refreshing the Firm's records inventory</li><li>Support corporate initiatives that impact the Firm's management of data and records</li><li>Provide needed support to financial advisors on matters relating to the branch offices' adherence to books and records regulations</li><li>Support the record destruction process (both physical and electronic);</li><li>Enhance the knowledge and awareness of LPL employees and advisors regarding all aspects of records management</li></ul>Job Requirements: Minimum Education/Experience Required: <ul><li>Bachelor's degree in Business, Technology/MIS, Finance, or a related field</li><li>3-5 years' experience in the financial services industry</li><li>Candidate must have excellent verbal and written communication skills and be entirely comfortable presenting facts, ideas and opinions to executives or large groups of people</li><li>Strong knowledge in Microsoft Excel including basic formulas, pivot tables, functions, etc.</li></ul>Preferred experience: <ul><li>Working knowledge of SEC (17a-3 and 17a-4), FINRA, NFA, CFTC, and MSRB rules, especially Books and Records requirements</li><li>Working knowledge and understanding of the functions of electronic records management systems, including their capabilities, risk management intent and issues such as metadata, security, privacy, and access</li><li>Series 7 or Series 99 a plus</li><li>Worked in the financial services Industry in a compliance, legal, technology or risk capacity; OR worked in a Big-4 Accounting/Consulting firm</li><li>Knowledge of SQL, Tableau, SharePoint, Smartsheet, JIRA/Confluence, Alteryx a plus</li></ul>#LI-PA Pay Range: $73,088-$121,813/year Actual base salary varies based on factors, including but not limited to, relevant skill, prior experience, education, base salary of internal peers, demonstrated performance, and geographic location. Additionally, LPL Total Rewards package is highly competitive, designed to support your success at work, at home, and at play - such as 401K matching, health benefits, employee stock options, paid time off, volunteer time off, and more. Your recruiter will be happy to discuss all that LPL has to offer! Company Overview: LPL Financial Holdings Inc. (Nasdaq: LPLA) was founded on the principle that the firm should work for advisors and institutions, and not the other way around. Today, LPL is a leader in the markets we serve, serving more than 23,000 financial advisors, including advisors at approximately 1,000 institutions and at approximately 580 registered investment advisor ("RIA") firms nationwide. We are steadfast in our commitment to the advisor-mediated model and the belief that Americans deserve access to personalized guidance from a financial professional. At LPL, independence means that advisors and institution leaders have the freedom they deserve to choose the business model, services, and technology resources that allow them to run a thriving business. They have the flexibility to do business their way. And they have the freedom to manage their client relationships, because they know their clients best. Simply put, we take care of our advisors and institutions, so they can take care of their clients. Join LPL Financial: Where Your Potential Meets Opportunity At LPL Financial, we believe that everyone deserves objective financial guidance. As the nation's leading independent broker-dealer, we offer an integrated platform of cutting-edge technology, brokerage, and investment advisor services. Why LPL? <ul><li>Innovative Environment: We foster creativity and growth, providing a supportive and responsive leadership team. Learn more about our leadership team here!</li><li>Limitless Career Potential: Your career at LPL has no limits, only amazing potential. Learn more about our careers here!</li><li>Unified Mission: We are one team on one mission-taking care of our advisors so they can take care of their clients. Learn more about our mission and values here!</li><li>Impactful Work: Our size is just right for you to make a real impact. Learn more here!</li><li>Commitment to Equality: We support workplace equality and embrace diverse perspectives and backgrounds. Learn more here!</li><li>Community Focus: We care for our communities and encourage our employees to do the same. Learn more here!</li><li>Benefits and Total Rewards: Our Total Rewards package goes beyond just compensation and insurance. It includes a mix of traditional and unique benefits, perks, and resources designed to enhance your life both at work and at home. Learn more here!</li></ul>Join the LPL team and help us make a difference by turning life's aspirations into financial realities. Please log in or create an account to apply to this position. Principals only. EOE. Information on Interviews: LPL will only communicate with a job applicant directly from an @lplfinancial.com email address and will never conduct an interview online or in a chatroom forum. During an interview, LPL will not request any form of payment from the applicant, or information regarding an applicant's bank or credit card. Should you have any questions regarding the application process, please contact LPL's Human Resources Solutions Center at (855) 575-6947. EAC1.22.25

Sr. Analyst, Compliance

Ready to be pushed beyond what you think you're capable of? At Coinbase, our mission is to increase economic freedom in the world. It's a massive, ambitious opportunity that demands the best of us, every day, as we build the emerging onchain platform - and with it, the future global financial system. To achieve our mission, we're seeking a very specific candidate. We want someone who is passionate about our mission and who believes in the power of crypto and blockchain technology to update the financial system. We want someone who is eager to leave their mark on the world, who relishes the pressure and privilege of working with high caliber colleagues, and who actively seeks feedback to keep leveling up. We want someone who will run towards, not away from, solving the company's hardest problems. Our work culture is intense and isn't for everyone. But if you want to build the future alongside others who excel in their disciplines and expect the same from you, there's no better place to be. The CX Compliance team is essential in ensuring that our global CX Compliance Operations function efficiently, comply with regulatory requirements, and consistently deliver high-quality resolutions. As a Senior Analyst, Compliance TMS Operations within the CX Compliance team, you will be responsible for conducting end-to-end Transaction Monitoring investigations for customers (individuals/entities) that may lead to drafting and filing a SAR. You will work extensively with functional leaders in the Financial Crime Risk Service line and support functions to maintain production and quality of the highest standard. You will work independently, prioritizing multiple tasks with minimal guidance, and remain open to feedback from all levels to drive continuous improvement in compliance handling. What you'll be doing: <ul><li>Minimum of 2 years of relevant experience in financial services, crypto, investigations, legal, or the tech industry, with a focus on TMS, compliance, or regulatory matters.</li><li>Relevant experience in SAR narrative drafting and filing</li><li>Conduct investigative review and analysis in support of company's BSA/AML regulatory compliance policies and programs including investigating automated alerts from our transaction monitoring systems, and referrals sourced from law enforcement requests and other company lines of business</li><li>Analyze transaction activity and KYC information and conduct due diligence research in support of investigations as well as interpret evidence from external tools and systems to determine the legitimacy of customer behavior across multiple products</li><li>Document investigations in written narratives</li><li>Decide whether activity warrants escalation for additional review and subsequently recommend whether activity appears suspicious and warrants filing of a suspicious activity report</li><li>Incorporate feedback from Quality Assurance Team</li><li>Maintain detailed documentation to demonstrate compliance with regulations and internal policies and procedures </li><li>Remain current with industry standards and developments in the areas of KYC, BSA/AML, and OFAC, and apply regulatory requirements and internal policies and procedures to case investigation</li><li>Review data from systems and following Coinbase procedures to investigate, decide, and document transaction monitoring alerts</li></ul>What we look for in you: <ul><li>Strong interpersonal, analytical, and communication (verbal and written) skills</li><li>Experience working with Google Sheet, Google Doc, Excel, Word</li><li>Flexible and adaptable to the evolving needs of a high-growth and fast paced organization environment</li><li>Ready to support in 24*7 environment</li><li> Organized with a High level of attention to detail</li></ul>Nice to haves: <ul><li>Professional certification in AML or Fraud (e.g. CAMS, CFCS, CFE) </li><li>Experience in project management, analytics, or vendor management</li><li>Advanced degree in business, finance, or customer experience (CX)</li><li>Proficiency with tools such as Google apps, JIRA, Hummingbird, and Salesforce Service Cloud.</li><li>Experience collaborating with external outsource business partners</li></ul>Note: This role requires full-time, in-office presence at our Charlotte location. In order to support the 24/7 nature of cryptocurrency, shifts may include weekend and night. Job #: G2709 #LI-Onsite Pay Transparency Notice: Depending on your work location, the target annual salary for this position can range as detailed below. Full time offers from Coinbase also include target bonus + target equity + benefits (including medical, dental, vision and 401(k)). Pay Range: $41.27-$41.27 USD Please be advised that each candidate may submit a maximum of four applications within any 30-day period. We encourage you to carefully evaluate how your skills and interests align with Coinbase's roles before applying. Commitment to Equal Opportunity Coinbase is committed to diversity in its workforce and is proud to be an Equal Opportunity Employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, creed, gender, national origin, age, disability, veteran status, sex, gender expression or identity, sexual orientation or any other basis protected by applicable law. Coinbase will also consider for employment qualified applicants with criminal histories in a manner consistent with applicable federal, state and local law. For US applicants, you may view the Know Your Rights notice here. Additionally, Coinbase participates in the E-Verify program in certain locations, as required by law. Coinbase is also committed to providing reasonable accommodations to individuals with disabilities. If you need a reasonable accommodation because of a disability for any part of the employment process, please contact us at accommodations[at]coinbase.com to let us know the nature of your request and your contact information. For quick access to screen reading technology compatible with this site click here to download a free compatible screen reader (free step by step tutorial can be found here). Global Data Privacy Notice for Job Candidates and Applicants Depending on your location, the General Data Protection Regulation (GDPR) and California Consumer Privacy Act (CCPA) may regulate the way we manage the data of job applicants. Our full notice outlining how data will be processed as part of the application procedure for applicable locations is available here. By submitting your application, you are agreeing to our use and processing of your data as required. For US applicants only, by submitting your application you are agreeing to arbitration of disputes as outlined here.

TMS Compliance Analyst III

Ready to be pushed beyond what you think you're capable of? At Coinbase, our mission is to increase economic freedom in the world. It's a massive, ambitious opportunity that demands the best of us, every day, as we build the emerging onchain platform - and with it, the future global financial system. To achieve our mission, we're seeking a very specific candidate. We want someone who is passionate about our mission and who believes in the power of crypto and blockchain technology to update the financial system. We want someone who is eager to leave their mark on the world, who relishes the pressure and privilege of working with high caliber colleagues, and who actively seeks feedback to keep leveling up. We want someone who will run towards, not away from, solving the company's hardest problems. Our work culture is intense and isn't for everyone. But if you want to build the future alongside others who excel in their disciplines and expect the same from you, there's no better place to be. The CX Compliance team is essential in ensuring that our global CX Compliance Operations function efficiently, comply with regulatory requirements, and consistently deliver high-quality resolutions. As a Senior Analyst, Compliance EDD Operations within the CX Compliance team, you will be responsible for conducting end-to-end investigations for customers (individuals/entities). You will work extensively with functional leaders in the Financial Crime Risk Service line and support functions to maintain production and quality of the highest standard. You will work independently, prioritizing multiple tasks with minimal guidance, and remain open to feedback from all levels to drive continuous improvement in compliance handling. What you'll be doing: <ul><li>Minimum of 2 years of relevant experience in financial services, crypto, investigations, legal, or the tech industry, with a focus on EDD/KYC, compliance, or regulatory matters.</li><li>Conduct investigative review and analysis in support of company's BSA/AML regulatory compliance policies and programs including investigating automated alerts from our transaction monitoring systems, and referrals sourced from law enforcement requests and other company lines of business</li><li>Gather and analyze transaction activity and KYC information and conduct due diligence research in support of investigations as well as interpret evidence from external tools and systems to determine the legitimacy of customer behavior across multiple products</li><li>Document investigations in appropriate channels and in written narratives as necessary</li><li>Incorporate feedback from Quality Assurance Team</li><li>Maintain detailed documentation to demonstrate compliance with regulations and internal policies and procedures </li><li>Remain current with industry standards and developments in the areas of KYC, BSA/AML, and OFAC, and apply regulatory requirements and internal policies and procedures to investigations</li><li>Review data from systems and following Coinbase procedures to investigate, decide, and document identifiable alerts</li></ul>What we look for in you: <ul><li>Strong interpersonal, analytical, and communication (verbal and written) skills</li><li>Experience working with Google Sheet, Google Doc, Excel, Word</li><li>Flexible and adaptable to the evolving needs of a high-growth and fast paced organization environment</li><li>Ready to support in 24*7 environment</li><li>Organized with a High level of attention to detail</li></ul>Nice to haves: <ul><li>Professional certification in AML or Fraud (e.g. CAMS, CFCS, CFE) </li><li>Experience in project management, analytics, or vendor management</li><li>Advanced degree in business, finance, or customer experience (CX)</li><li>Proficiency with tools such as Google apps, JIRA, Hummingbird, and Salesforce Service Cloud.</li><li>Experience collaborating with external outsource business partners</li></ul>Note: This role requires full-time, in-office presence at our Charlotte location. In order to support the 24/7 nature of cryptocurrency, shifts may include weekend and night. Job #: G2712 #LI-Onsite Pay Transparency Notice: Depending on your work location, the target annual salary for this position can range as detailed below. Full time offers from Coinbase also include target bonus + target equity + benefits (including medical, dental, vision and 401(k)). Pay Range: $41.27-$41.27 USD Please be advised that each candidate may submit a maximum of four applications within any 30-day period. We encourage you to carefully evaluate how your skills and interests align with Coinbase's roles before applying. Commitment to Equal Opportunity Coinbase is committed to diversity in its workforce and is proud to be an Equal Opportunity Employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, creed, gender, national origin, age, disability, veteran status, sex, gender expression or identity, sexual orientation or any other basis protected by applicable law. Coinbase will also consider for employment qualified applicants with criminal histories in a manner consistent with applicable federal, state and local law. For US applicants, you may view the Know Your Rights notice here. Additionally, Coinbase participates in the E-Verify program in certain locations, as required by law. Coinbase is also committed to providing reasonable accommodations to individuals with disabilities. If you need a reasonable accommodation because of a disability for any part of the employment process, please contact us at accommodations[at]coinbase.com to let us know the nature of your request and your contact information. For quick access to screen reading technology compatible with this site click here to download a free compatible screen reader (free step by step tutorial can be found here). Global Data Privacy Notice for Job Candidates and Applicants Depending on your location, the General Data Protection Regulation (GDPR) and California Consumer Privacy Act (CCPA) may regulate the way we manage the data of job applicants. Our full notice outlining how data will be processed as part of the application procedure for applicable locations is available here. By submitting your application, you are agreeing to our use and processing of your data as required. For US applicants only, by submitting your application you are agreeing to arbitration of disputes as outlined here.

EDD Compliance Analyst III

Ready to be pushed beyond what you think you're capable of? At Coinbase, our mission is to increase economic freedom in the world. It's a massive, ambitious opportunity that demands the best of us, every day, as we build the emerging onchain platform - and with it, the future global financial system. To achieve our mission, we're seeking a very specific candidate. We want someone who is passionate about our mission and who believes in the power of crypto and blockchain technology to update the financial system. We want someone who is eager to leave their mark on the world, who relishes the pressure and privilege of working with high caliber colleagues, and who actively seeks feedback to keep leveling up. We want someone who will run towards, not away from, solving the company's hardest problems. Our work culture is intense and isn't for everyone. But if you want to build the future alongside others who excel in their disciplines and expect the same from you, there's no better place to be. The CX Compliance team is essential in ensuring that our global CX Compliance Operations function efficiently, comply with regulatory requirements, and consistently deliver high-quality resolutions. As a Senior Analyst, Compliance EDD Quality Operations within the CX Compliance team, you will be responsible for conducting a review of end-to-end investigations for customers (individuals/entities). You will work extensively with functional leaders in the Financial Crime Risk Service line and support functions to maintain production and quality of the highest standard. You will work independently, prioritizing multiple tasks with minimal guidance, and remain open to feedback from all levels as well as deliver feedback to agents to drive continuous improvement in compliance handling. What you'll be doing (ie. job duties): To be completed by all business teams except Eng. <ul><li>Minimum of 2 years of relevant experience in financial services, crypto, investigations, legal, or the tech industry, with a focus on EDD/KYC, compliance, or regulatory matters.</li><li>Minimum of 2 years of relevant experience in quality review and control framework.</li><li>Conduct investigative review and analysis in support of company's BSA/AML regulatory compliance policies and programs including investigating automated alerts from our transaction monitoring systems, and referrals sourced from law enforcement requests and other company lines of business</li><li>Gather and analyze transaction activity and KYC information and conduct due diligence research in support of investigations as well as interpret evidence from external tools and systems to determine the legitimacy of customer behavior across multiple products</li><li>Document investigations in appropriate channels and in written narratives as necessary</li><li>Incorporate feedback from Quality Assurance Team</li><li>Maintain detailed documentation to demonstrate compliance with regulations and internal policies and procedures </li><li>Remain current with industry standards and developments in the areas of KYC, BSA/AML, and OFAC, and apply regulatory requirements and internal policies and procedures to investigations</li><li>Review data from systems and following Coinbase procedures to investigate, decide, and document identifiable alerts</li></ul>What we look for in you (ie. job requirements): To be completed by all business teams except Eng. <ul><li>Strong interpersonal, analytical, and communication (verbal and written) skills</li><li>Experience working with Google Sheet, Google Doc, Excel, Word</li><li>Flexible and adaptable to the evolving needs of a high-growth and fast paced organization environment</li><li>Ready to support in 24*7 environment</li><li>Organized with a High level of attention to detail</li></ul>Nice to haves: <ul><li>Professional certification in AML or Fraud (e.g. CAMS, CFCS, CFE) </li><li>Experience in project management, analytics, or vendor management</li><li>Advanced degree in business, finance, or customer experience (CX)</li><li>Proficiency with tools such as Google apps, JIRA, Hummingbird, and Salesforce Service Cloud.</li><li>Experience collaborating with external outsource business partners</li></ul>Note: This role requires full-time, in-office presence at our Charlotte location. In order to support the 24/7 nature of cryptocurrency, shifts may include weekend and night. Job #: G2715 Pay Transparency Notice: Depending on your work location, the target annual salary for this position can range as detailed below. Full time offers from Coinbase also include target bonus + target equity + benefits (including medical, dental, vision and 401(k)). Pay Range: $41.27-$41.27 USD Please be advised that each candidate may submit a maximum of four applications within any 30-day period. We encourage you to carefully evaluate how your skills and interests align with Coinbase's roles before applying. Commitment to Equal Opportunity Coinbase is committed to diversity in its workforce and is proud to be an Equal Opportunity Employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, creed, gender, national origin, age, disability, veteran status, sex, gender expression or identity, sexual orientation or any other basis protected by applicable law. Coinbase will also consider for employment qualified applicants with criminal histories in a manner consistent with applicable federal, state and local law. For US applicants, you may view the Know Your Rights notice here. Additionally, Coinbase participates in the E-Verify program in certain locations, as required by law. Coinbase is also committed to providing reasonable accommodations to individuals with disabilities. If you need a reasonable accommodation because of a disability for any part of the employment process, please contact us at accommodations[at]coinbase.com to let us know the nature of your request and your contact information. For quick access to screen reading technology compatible with this site click here to download a free compatible screen reader (free step by step tutorial can be found here). Global Data Privacy Notice for Job Candidates and Applicants Depending on your location, the General Data Protection Regulation (GDPR) and California Consumer Privacy Act (CCPA) may regulate the way we manage the data of job applicants. Our full notice outlining how data will be processed as part of the application procedure for applicable locations is available here. By submitting your application, you are agreeing to our use and processing of your data as required. For US applicants only, by submitting your application you are agreeing to arbitration of disputes as outlined here.

9 Full time Jobs in Charlotte, NC, USA