309 Enforcement Actions in the U.S. over past 30 days

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FINRA enforcements decreased 70% over the past 30 days

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SEC issued enforcements: $289,563,885 over the past 30 days

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161 Final Rules go into effect in the next 30 days

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120 Mortgage Lending docs published in the last 7 days

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1460 docs with 2637 extracted obligations from the last 7 days

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964 new Proposed and Final Rules were published in the past 7 days

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16097 new docs in pro.compliance.ai within the last 7 days

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Join us at the ABA RCC Conference, June 22-24

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Considering RCM Solutions?  Here’s an RFP to get started.

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Careers

Join our team of RegTech pioneers

Machine Learning Software Engineer

We are seeking a Machine Learning Software Engineer to become an integral part of our team! You will be responsible for creating and modifying software or specialized programs.
    Responsibilities:
    • Analyze user needs and develop software solutions
    • Work with project manager or product owner to meet specification needs
    • Recommend software upgrades to optimize operational efficiency
    • Collaborate with other developers to design and optimize code
    • Document all programming tasks and procedures
    • Perform routine software maintenance
    Qualifications:
    • Previous experience in software development, computer engineering, or other related fields
    • 3+ years working experience with:
      • Python applied to SaaS/Enterprise Data-pipeline/classification projects
      • Relational database technologies: Postgres/SQL Alchemy (preferably thru AWS-RDS)
      • Text/document processing & machine learning technologies: NLP, Tensor Flow/PyTorch, Recurrent Neural Networks (RNN), Computational linguistics experience, Clustering, Decision tree learning and their real-world advantages/drawbacks.
      • Document processing: Document format Conversion, meta-data Extraction, content Classification, & content Summarization
    • Agile software development: JIRA (SCRUM, PR/Code reviews, unit tests)​​​​
    • Bachelor’s Degree in Computer Science/related discipline, or equivalent work experience
    • Bonus points for commercial experience working on any of the following:
      • Search ranking, relevance and optimization: Elasticsearch
      • Containerization + Container Orchestration
      • Workflow scalable infrastructure: Celery/RabbitMQ, Airflow
      • DevOps via AWS: AWS Sagemaker, AWS-ECS, AWS-EKS, CloudWatch
      • NoSQL: Any document-oriented database
      • Continuous integration, Automated testing
    Learn more

    Full Stack Engineer

    Seeking an engineer to join our team. We leverage machine learning, data science, and the latest web technologies. Our software platform ingests millions of regulations, processes them through a data pipeline, then extracts actionable insights using machine learning to provide our users value through our web based applications and APIs, We value open/clear communication, innovation, and personal growth. Our goal is to become the global leader in regulatory intelligence. We currently serve some of the largest banks and fintech companies. Requirements:
    • Bachelor’s Degree in Computer Science/related discipline, or equivalent work experience
    • 3+ years of software development working experience (non-academic)
    • Demonstrated work experience with the following:
      • Python, Node, JavaScript, React in a web application environment
      • Relational databases (Postgres a plus)
      • Source code repositories: git/Github
      • Agile software development best practices (code reviews, pull requests, unit tests)
      • Experience with search ranking, relevance and optimization ( Elasticsearch, Solr/Lucene)
    • Team player with an internal drive to communicate, collaborate and ship code
    • Proven problem solving skills, and the ability to learn new systems
    Bonus points for:
    • NLP, deep learning, computational linguistics experience.
    • Demonstrated experience with NoSQL (document-oriented database a plus)
    • Professional experience building custom dashboards using Redux, React Native
    • Live SaaS product development
    • DevOps (via AWS)
    • Continuous integration, automated testing
    Learn more

    Sales Development Representative (SDR)

    [vc_row][vc_column][vc_column_text]We are currently seeking to hire a Sales Development Representative (SDR) to join our team! You will be a Compliance.ai, SDR pioneer responsible for building sales pipeline to drive company revenue as well as work on your professional growth. Location: SF Bay area, Office in SF. Currently remote. Benefits Offered: Dental, Medical, Vision Employment Type: Full-Time
    Why be a Compliance.ai SDR?
    • Competitive base salary + quarterly compensation plan
    • Remote Work
    • Structured internal training program
    • One-on-One management focused on pipeline growth and SDR professional development
    • ...and more!
    Primary responsibilities include but are not limited to:
    • Work on outbound outreach to identify sales opportunities
    • Work on qualification for inbound lead requests
    • Track and meet daily, weekly and quarterly metrics
    • Follow-up with marketing campaigns as needed
    • Learn about our products and our sales and marketing processes
    Qualifications:
    • 0-1 years sales experience
    • BA/BS degree not required, but some college is desired
      • Recent grads encouraged to apply
    • Desire to develop a career in software sales (Not required, nice to have)
    • "Hunter" mentality
    • Ability to thrive in a fast-paced environment and eager to learn
    About Compliance.ai:
    Compliance.ai’s mission is to transform the way highly regulated organizations address compliance risk, and to modernize compliance processes for both the regulators and the regulated entities. We empower financial compliance teams to proactively manage the growing volume & velocity of regulatory changes, as they occur, and make it simple to implement the appropriate steps to remain in compliance. We provide a cost-effective way to monitor & predict regulatory trends that impact businesses, and allocate resources accordingly. Our platform automates and streamlines complex compliance activities & workflows to foster collaboration, transparency and trust across all stakeholders.
    [/vc_column_text][/vc_column][/vc_row] Learn more

    Senior Account Manager

    Goals:
    • Meeting/beating company’s Service Renewal & Expansion booking objectives: Help maintain/expand existing accounts, ensuring timely Contract renewals & Expansions
    • Deliver stellar Client experience following deal closure and the transition of customers to Customer Support & Success teams: Training, On-boarding, Personalization, Customization
    • Drive long-term customer satisfaction through repeatable and reliable solution delivery
    Roles and Responsibilities:
    • Ensure we match/beat SLAs including: First Customer Response Time, and Update Frequency (communication with customers)
    • Deliver Positive Support CSAT and stellar NPS measured by: Post-ticket customer satisfaction surveys
    • Report/Influence Product roadmap by providing summarized feedback that reduces the volume/pace/severity of tickets
    • Track/Report/Improve key Internal Service Targets: Total Resolution Time
    • Develop Support Packages that serve the needs of our various customers
    • Provide a holistic customer experience for customers that will maintain high customer retention rates
    • Incorporate additional technology solutions to improve quality, efficiency, and data collection.
    Skills & Requirements:
    • 5+ years experience in a leading business operational role within customer success teams, focused on the following:
      • Offering Compliance Risk/Regulatory Compliance/Regulatory Change Management related business solutions in Customer Care, After Sales support or Professional Services to financial services/insurance focused (BFSI) organizations
      • Working directly with Compliance & Risk officers, and the office of the General counsel at regulated BFSI
      • Analyzing business processes/operations, understanding the key drivers, and developing fit-for-purpose solutions
      • Experience with best-in-class Support technologies, using SaaS tools such as ServiceNow, Zoho Desk, Salesforce Service Cloud, or similar.
    • Critical to understand Banking/financial services & insurance sector and having experience implementing compliance, risk and/or regulatory change management processes
    • Experience with the financial services Compliance, Risk or Audit related processes necessary to serve our customers (to gain respect with their relevant process expertise in implementing technology in a regulated environment and process)
    • Education: Bachelor’s degree or higher in Sciences/Arts
    • Can travel as needed
    • Knowledge and experience with RegTech and AI powered business solutions a huge plus
    Learn more

    Senior Sales Executive

    [vc_row][vc_column][vc_column_text]

    Our ideal candidate is an experienced sales person comfortable with generating sales leads with new clients while maintaining relationships with existing ones. This candidate would understand a prospective client's needs and offer ideal solutions. The ideal candidate would have strong communication skills and a positive track record of exceeding outlined goals.

    [/vc_column_text][vc_column_text]

    Responsibilities

    • Identify new potential key customers
    • Prospect clients and understand their needs
    • Proven record of exceeding sales quotas
    • Act as liaison & main point of contact between company and key prospects/customers
    • Facilitate the end-to-end sale process
    • Generate and present sales pipeline progress reports on a timely and recurring basis
    • Suggest innovative ideas to increase sales and improve customer experience
    • Schedule and Organize recurring prospect/customer meetings to discuss & manage their requirements
    • Stay up-to-date with new features and product launches, and work closely with the product/marketing teams to maximize marketing campaigns
    • Monitor and report on sales performance analytics
    • Budget and allocate resources efficiently to maximize outcomes
    • Maintain customer relationships

    Qualifications

    • 5+ years experience as a Sales representative selling to C-Suite within Banks, Financial Services, or Insurance industries
    • 3+ years experience selling SaaS based Enterprise business solutions to Financial, Insurance, Healthcare, Energy, or Government sectors, ideally within Compliance or Risk departments
    • 2+ years working knowledge of CRM software (either Salesforce.com or Zoho CRM), and Office tools (either MS Word, Excel & PowerPoint, or Google G-Suite Docs, Sheets & Slides)
    • Understanding of best-practices in SaaS business enterprise sales
    • Experience in managing a book of business
    • Excellent negotiation & communication skills
    • Bachelor's degree in Finance, Economics, or related fields
    • Demonstrated ability to set goals and achieve them
    • Experience with SaaS Fintech/Regtech a plus.
    • Experience working with Procurement teams, multiple buyers/business units, Compliance/GRC also a plus.

    [/vc_column_text][/vc_column][/vc_row]

    Learn more

    Director of Professional Services

    The Director of Professional services role is a customer facing role. This leader has technology and domain depth and is responsible for delivering best in class services, leading customers through their Professional services, integration, and implementation needs.
      Roles and Responsibilities:
      • Lead delivery of implementation, integration , customization, and education services for customers and partner projects.
      • Communicate client requirements and use cases to the internal product team and stakeholders.
      • Manage delivery projects and timelines
      • Ensure we match/beat SLAs including: First Customer Response Time, and Update Frequency (communication with customers)
      • Deliver Positive Support CSAT and stellar NPS measured by: Post-ticket customer satisfaction surveys
      • Report/Influence Product roadmap by providing summarized feedback that reduces the volume/pace/severity of tickets
      • Track/Report/Improve key Internal Service Targets: Total Resolution Time
      • Develop Support Packages that serve the needs of our various customers
      Skills & Requirements:
      • 5+ years experience in a leading Professional service roles, focused on the following:
        • Background in professional services, product development and strong technology background in Governance, Risk or Compliance related systems and deployment
        • Background in conception, design, development and integration of process management solutions.
        • Offering Professional Services to financial services/insurance focused (BFSI) organizations
        • Working directly with Compliance & Risk officers, and the office of the General counsel at regulated BFSI
        • Analyzing business processes/operations, understanding the key drivers, and developing fit-for-purpose solutions
        • Experience with best-in-class Support technologies, using SaaS tools such as ServiceNow, Zoho Desk, Salesforce Service Cloud, or similar.
      • Excellent customer facing presentation skills
      • Critical to understand Banking/Financial services & insurance sector and having experience implementing compliance, risk and/or regulatory change management processes
      • Experience with the financial services Compliance, Risk or Audit related processes necessary to serve our customers (to gain respect with their relevant process expertise in implementing technology in a regulated environment and process)
      • Education: Bachelor’s degree or higher in Computer Science or related field
      • Can travel as needed
      • Knowledge and experience with RegTech and AI powered business solutions a huge plus
      Learn more

      Manager, Sales Operations

      The Manager of Sales Operations is responsible for supporting all stages of the sales cycle as a key member of the Compliance.ai account team. This position will be essential to the sales activities and communications between Compliance.ai prospects, current customers and channel partners on new, upsell, cross-sell, upgrades and maintenance renewal opportunities. This role will help execute the sales operations activities; sales orders, quotes & contracts, sales processing & bookings, RFPs. They will be responsible for maintaining CRM throughout sales cycle. They will maintain effective communications with executives and managers across the company to ensure proper sensitivity to the needs of the sales force and provide outstanding customer support to internal and external customers.

      Core Expectations

      • Support sales team with finalizing appropriate sales documentation; quotes, Statements of Work, Purchase Orders, etc.
      • Maintain CRM with key artifacts during the sales cycle – 3+ years’ experience
      • Ensure sales team alignment to sales processes, policies and procedures 
      • Work closely with Services, Sales Engineering, Product Marketing, Marketing and other Compliance.ai functional areas to support the sales team’s success 
      • Work with sales teams to generate key target opportunities 
      • Understand and adapt to effective sales models and programs 
      • Support other sales efforts, as assigned 
      • Other core expectations as defined and requested by your direct supervisor and sales leadership

      Core Competencies

      • Ability to respond and react to internal and external customers 
      • Effectively execute and drive desired results 
      • Clearly communicate & set expectations 
      • Ability to balance simultaneous projects, evaluate workload and prioritize tasks based on criticality 
      • Demonstrates highest level of detail orientation and organizational skills 
      • Demonstrates a sense of urgency to attain and exceed desired results 
      • Operates in a cooperative and collaborative spirit to achieve shared goals across multiple functions 
      • Displays excellent troubleshooting and creative problem solving skills, know when to act quickly 
      • Ability to articulate needs for process improvements 
      • Other core competencies will be defined by your direct supervisor/manager

      Experience/Education

      • Bachelor's degree in a business-related function 
      • Minimum of 3 years of business experience 
      • Technology or software experience required
      • Preferred experience with sales teams, sales partners or B2B customers
      Learn more

      Strategic Account Manager

      Goals:
      • Meeting/beating company’s Service Renewal & Expansion booking objectives: Help maintain/expand existing accounts, ensuring timely Contract renewals & Expansions
      • Deliver stellar Client experience following deal closure and the transition of customers to Customer Support & Success teams: Training, On-boarding, Personalization, Customization
      • Drive long-term customer satisfaction through repeatable and reliable solution delivery
      Roles and Responsibilities:
      • Analyze client business processes/operations, understand key drivers, and establish fit-for-purpose expansion plans with clients
      • Report/Influence Product roadmap by providing summarized feedback that reduces the volume/pace/severity of tickets and help clients user our solution more effectively across their organization
      • Track/Report/Improve key Internal Service Targets: Total Resolution Time
      • Develop Support Packages and Expansion Plans that serve the needs of our various customers
      • Provide a holistic customer experience for customers that will maintain high customer retention and expansion rates across their organization
      • Incorporate additional technology solutions to improve quality, efficiency, and data collection.
      Skills & Requirements:
      • 7+ years experience in a leading business operational role within customer success teams, focused on the following:
        • Offering Compliance Risk/Regulatory Compliance/Regulatory Change Management related business solutions in Senior Account Management, After Sales or Professional Services to financial services/insurance focused (BFSI) organizations
        • Working directly with Compliance & Risk officers, and the office of the General counsel at regulated BFSI
        • Analyzing business processes/operations, understanding the key drivers, and developing fit-for-purpose solutions
        • Experience with best-in-class Account Management and Support technologies, using SaaS tools such as ServiceNow, Zoho Desk, Salesforce Service Cloud, or similar.
      • Critical to understand Banking/financial services & insurance sector and having experience implementing compliance, risk and/or regulatory change management processes
      • Experience with the financial services Compliance, Risk or Audit related processes necessary to serve our customers (to gain respect with their relevant process expertise in implementing technology in a regulated environment and process)
      • Education: Bachelor’s degree or higher in Sciences/Arts
      • Can travel as needed
      • Knowledge and experience with RegTech and AI powered business solutions a huge plus
      Learn more

      Director of Demand Generation

      We are looking for a Director Of Demand Generation to join our team! You will be responsible for overseeing marketing policies and programs, as well as identify areas of improvement to increase brand awareness and targeted lead generation.

      Responsibilities:

      • Oversee and coordinate targeted marketing lead generation process and projects

      • Determine product demand and customer awareness

      • Develop pricing strategies to maximize return on investment

      • Coordinate marketing campaigns with sales activities

      • Review and optimize demand generation related marketing budget

      Qualifications:

      • 5+ years of experience in marketing demand generation for SaaS Business Enterprise solutions, preferably to Financial Services or Insurance organizations

      • 5+ years of experience working with CRM, Marketing Campaign solutions such as MailChimp, HubSpot, Salesforce, Zoho

      • 5+ years of experience with Account Based Marketing

      • Strong project management skills

      • Deadline and detail-oriented

      Learn more
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