248 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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CME issued enforcements: $1,241,754.92 over the past 30 days

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161 Final Rules go into effect in the next 30 days

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30 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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90 new Proposed and Final Rules were published in the past 7 days

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2879 new docs in pro.compliance.ai within the last 7 days

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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)

    Seeking a Sales Development Representative to join our sales team on a full-time basis. Location: SF Bay area, Office in SF. Currently remote. Responsibilities
    • Develop opportunities for the sales team from prospecting and marketing generated leads
    • Interact with prospects via telephone and email with a high attention to detail
    • Track all relevant qualification and lead management activity using CRM software
    • Quickly learn the Compliance.ai platform, effectively communicate the value proposition and be able to react to objections and competitive questions
    • Research accounts, identify key players, generate interest and develop accounts to stimulate opportunities
    • Disseminate opportunities to appropriate AE, educating rep as necessary about the opportunity
    • Develop and execute on a strong prospecting plan of attack, including email and call scripts
    • Consistently achieve qualified opportunity quotas to ensure territory revenue objectives
      Key Requirements
    • 3+ years of proven excellence in business development, inside sales and/or sales
    • 1+ years Working knowledge of CRM software such as Salesforce.com or Zoho
    • 2+ years experience with SDR and lead development best practices and procedures
    • Bachelor's degree in Finance, Economics, or related fields
    • Demonstrated ability to set goals and achieve them
    • Strong communication skills and understanding of the sales process
    • Positive can-do attitude and tireless work ethic. Driven and self-sufficient.
    • Experience in Banking/Finance is strongly desired
    • Start up experience a plus
    Keywords & Buzzwords
    • RegTech, Financial Regulations, GRC, IRM, ERM, FinTech, SaaS enterprise, LegalTech
    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

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    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.

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    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.

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    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

      VP of Marketing

      Responsibilities Provide hands-on marketing leadership, and develop and execute a marketing strategy to achieve immediate and long-term high-growth revenue goals. The position reports directly to the CEO, and is responsible for demand generation, product marketing, analyst relations, brand awareness, content marketing, corporate marketing, and communications, and community building.
      • Oversee and execute strategy on marketing initiatives that contribute to our high growth goals. Top KPIs include: attracting top talent, speeding the sales cycle.
      • Translate brand and market vision into differentiated and compelling product messaging for each audience and enable the outward facing teams to tell our story to an executive audience.
      • Work closely with product and sales teams to understand our clients’ needs, create go-to-market strategies, communications and collateral that reflects brand and ROI for our clients.
      • Lead the team in annual and quarterly marketing planning, keeping track of budget, and reporting on marketing initiatives’ performance, with a focus on ROI and revenue growth.
      • Exercise a data-centric approach to gathering customer/user insights and using data to improve future marketing campaigns and results.
      • Position our products for our sales organization to win through effective sales enablement tools and initiatives.
      • Drive communications l presence to gain mind-share and tell our story through media coverage, speaking engagements, our online communities and social networks
      • Manage demand generation to attain an optimal marketing mix and to optimize resources to maximize market impact
      • Drive the creation of content, assets, and tools including sales presentations, ROI tools, whitepapers, blogs, competitive briefs and other materials
      Requirements
      • 7+ years in marketing leadership role for B2B solutions in the technology/software space 
      • Demonstrated success in building and managing a marketing organization, recruiting, retaining, and motivating our existing team and future talent.
      • Experience with marketing Enterprise SaaS solutions, especially those focused on Financial Services and Governance, Risk, and Compliance
      • Exceptional communication skills – ability to prioritize and efficiently and transparently communicate marketing goals and results at a team, executive, and Board level.
      • Demonstrated ability to develop impactful, fact-based, value propositions (requires strong analytical and creative thought processes). Has ability to distill learnings and pinpoint customer pain points, as well as turn them into differentiated messaging and content.
      • Ability to quickly assess and understand customer buyer journeys to improve results, and synthesize into meaningful, quantifiable, differentiated messaging.
      • Strong writing, analytical and presentation skills
      • Hands on working experience using modern third party marketing campaign management, advertisement and demand generation solutions
      Learn more

      Director, Sales Operations

      The Director 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
      • Coordinate the completion of RFI/RFPs in partnership with Sales by engaging key corporate departments while maintaining and improving an RFP repository and best practices processes 
      • Maintain CRM with key artifacts during the sales cycle
      • Ensure sales team alignment to sales processes, policies and procedures 
      • Work closely with Service, 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/manager 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 5 years of business experience 
      • Technology or software experience required
      • Preferred experience with sales teams, sales partners or b2b customers
      Learn more
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