Senior Broker-Dealer Regulatory Compliance Analyst 3632594 Axiom PathSenior Broker-Dealer Regulatory Compliance Analyst 3632594Jersey City, New JerseyRelevant certifications such as CAMS, CRCM, CCEP, CPA, CIA, or Series 7/24 are helpful but not required unless specifically requested by the hiring team. 10 or more years of experience in compliance, regulatory risk, internal audit, broker-dealer operations, finance controls, or a closely related area.
Regulatory Reporting TIC & BEA Analyst Diverse Lynx, LLCRegulatory Reporting TIC & BEA AnalystStamford, CTCollaborate with Treasury, Liquidity Risk, Finance, and IT teams to ensure proper interpretation of reporting rules and data lineage. Own and execute daily / monthly production BEA and TIC reports, ensuring completeness, accuracy, and timeliness.
NewSenior Analyst, Regulatory Compliance & Retailer Requirements Estee Lauder IncSenior Analyst, Regulatory Compliance & Retailer RequirementsNew York, NY$75,350–$112,500 / yearThe company's products are sold in approximately 150 countries and territories under brand names including: Estée Lauder, Aramis, Clinique, Lab Series, Origins, M·A·C, La Mer, Bobbi Brown Cosmetics, Aveda, Jo Malone London, Bumble and bumble, Darphin Paris, TOM FORD, Smashbox, AERIN Beauty, Le Labo, Editions de Parfums Frédéric Malle, GLAMGLOW, KILIAN PARIS, Too Faced, Dr. Jart+, the DECIEM family of brands, including The Ordinary and NIOD, and BALMAIN Beauty. Principle Objective: Support the Estee Lauder Corporate strategy for sustainable package development by ensuring packaging is developed to support the corporate vision and guidelines for responsible packaging (responsible material sourcing, responsible manufacturing processes, responsible product stewardship).
Regulatory Data Analyst Federal Reserve Bank of PhiladelphiaRegulatory Data AnalystNew York, New YorkUnderstanding of U.S. and global capital and money market's structure and products (e.g., Treasuries, Equities, Private Equity, Repo, Agency MBS, etc.); Solutions oriented with an eagerness to learn and grow; Ability to provide efficient and accurate verbal and written analysis; Candidate must possess a proficient skill set including the MS Office suite such as: Excel, Word, Power Point; Familiarity with or interest in Python, SQL, R, or similar programming languages; curiosity about analytical innovation and eagerness to learn and apply emerging technologies, including AI-enabled tools. Your work will directly involve partnering with major financial institutions to ensure data integrity, conducting deep-dive analysis, and building analytical products that serve stakeholders across the Federal Reserve System.
Senior Business Analyst – Financial Regulatory Reporting Pyramid, IncSenior Business Analyst – Financial Regulatory ReportingStamford, CT$70–$75 / hourFull timeKey Responsibilities: The requirement is for a Financial Accounting background in a financial service institution who can work independently and manage CRO conversations to assess the OCC [Office of the Comptroller of the Currency] Heightened Risks – Used for design and implementation of a risk governance framework. Coordinate with internal teams and external auditors to address any issues or discrepancies in regulatory reports.
Regulatory Capital Analyst Initio CapitalRegulatory Capital AnalystNew York, NY$145,000–$185,000It is provided to help job seekers understand the responsibilities and qualifications typically associated with early-career regulatory capital, risk oversight, and financial governance roles. This job description represents a sample Regulatory Capital Analyst position commonly found through the Career Launch AI Talent Network.
Regulatory Reporting FRA Analyst Tata Consultancy Services LtdRegulatory Reporting FRA AnalystStamford, CT$100,000–$130,000 / yearCollaborate with Treasury, Liquidity Risk, Finance, and IT teams to ensure proper interpretation of reporting rules and data lineage. Own and execute daily / monthly production BEA and TIC reports, ensuring completeness, accuracy, and timeliness.
GMDA ITD Business Analyst – Regulatory Team Mitsubishi UFJ Financial GroupGMDA ITD Business Analyst – Regulatory TeamNew York, New YorkAdditionally, our Total Rewards program provides colleagues with a competitive benefits package (in accordance with the eligibility requirements and respective terms of each) that includes comprehensive health and wellness benefits, retirement plans, educational assistance and training programs, income replacement for qualified employees with disabilities, paid maternity and parental bonding leave, and paid vacation, sick days, and holidays. Interface with Regulatory bodies (DTCC) to identify potential gaps and ensure compliance including any short/long term requirement which may impact internal Regulatory Reporting System file feeds and architecture.
Program Development Analyst (Regulatory Affairs Associate) Actalent IncProgram Development Analyst (Regulatory Affairs Associate)New Brunswick, NJRemote$35–$40 / hourThis position involves working closely with various stakeholders, including investigators, network staff, industry sponsors, and regulatory bodies, to streamline protocol approvals and maintain comprehensive regulatory documentation. If you would like to request a reasonable accommodation, such as the modification or adjustment of the job application process or interviewing process due to a disability, please email actalentaccommodation@actalentservices.com for other accommodation options.
CCAR Regulatory Reporting Analyst Barclays PlcCCAR Regulatory Reporting AnalystWhippany, NJTo identify, assess and mitigate prudential regulatory reporting risks, provide oversight on regulatory reporting, and maintenance of open communication with regulators to ensure that the bank''s activities and operations comply with all applicable laws, regulations, and internal control policies. Assessment of the effectiveness of the bank's internal control processes and governance framework, including addressing any weaknesses or gaps that could lead to regulatory reporting non-compliance, and implementation of measures to strengthen internal controls.
ISO Regulatory Reporting Analyst ExlService Holdings IncISO Regulatory Reporting AnalystNew Jersey, NJThis position requires strong insurance domain expertise, advanced data analysis capabilities, excellent stakeholder management skills, and the ability to identify and resolve complex reporting and data quality issues. Prepare, validate, and submit complex regulatory reports and data calls to various State Insurance Departments, regulatory bodies, and industry bureaus within established deadlines.
Regulatory Reporting Data Analyst (Remote) Delan Associates, IncRegulatory Reporting Data Analyst (Remote)Stamford, CTRemotePrepare and validate FDIC regulatory reports (12 CFR 369 & 12 CFR 370). Collaborate with Treasury, Liquidity Risk, Finance, and IT teams.
Regulatory Reporting Data Analyst Delan Associates, IncRegulatory Reporting Data AnalystStamford, CTPrepare and validate FDIC regulatory reports (12 CFR 369 & 12 CFR 370). Collaborate with Treasury, Liquidity Risk, Finance, and IT teams.
Regulatory Change Management Analyst Capital Rx LLCRegulatory Change Management AnalystNew York, NY$87,200–$109,000 / yearRegulatory Change Management Analyst will be responsible for supporting the day-to-day operational tasks related to Medicare Part D, Medicaid and Health Exchange regulatory requirements, including but not limited to monitoring CMS, ACA Marketplace and state guidance, supporting regulatory reporting requirements and supporting root cause analysis documentation. Judi Health is an enterprise health technology company providing a comprehensive suite of solutions for employers and health plans, including: Judi Rx, a public benefit corporation delivering full-service pharmacy benefit management (PBM) solutions to self-insured employers, Judi Health, which offers full-service health benefit management solutions to employers, TPAs, and health plans, and.
NewInvestment Analyst BC ForwardInvestment AnalystNew York, NY$67–$70 / hourFull timeThe ideal candidate will have strong experience in IB Operations with derivatives and a proven ability to manage client portfolios, execute accurate fund and investor processing, and deliver timely reporting in a control-focused environment. With delivery centers and offices across North America and India, we take pride in building long-term relationships and delivering excellence through innovation, collaboration, and integrity.
Fund Documentation Analyst Career Launch AIFund Documentation AnalystNew York, NY$140,000–$185,000Actual openings may vary based on employer type (asset managers, private equity, private credit, hedge funds, venture capital firms), fund structures, regulatory regimes, and asset class focus. Fund Documentation Analysts support investment, legal, compliance, and operations teams by preparing, reviewing, and maintaining fund-related documentation across the fund lifecycle.
Senior State Filings Analyst Munchener Ruckversicherungs-Gesellschaft Aktiengesellschaft (Munich Re)Senior State Filings AnalystNY$77,000–$104,000 / yearBureau Circular Management: Monitor and evaluate ISO and NCCI bureau circulars for business impact, collaborating with Insurance Product Managers to assess the need for regulatory filings. You can find additional information about this type of scam and report any fraudulent employment offers via the Federal Trade Commission's website ( https://consumer.ftc.gov/articles/job-scams ), or you can contact your local law enforcement agency.
Fundraising Operations Analyst Career Launch AIFundraising Operations AnalystNew York, NY$140,000–$185,000It is intended to help job seekers understand the responsibilities and qualifications typically associated with roles supporting capital raising infrastructure, investor onboarding, and fundraising process management within alternative asset management firms. Actual openings may vary based on employer type (private equity, venture capital, private credit, real estate, hedge fund, or placement advisory firm), fund structure, and investor base.
US DCM Analyst BBVAUS DCM AnalystNew York, NY$120,000–$130,000 / yearHowever, employees who have access to the compensation information of other employees or applicants as a part of their essential job functions cannot disclose the pay of other employees or applicants to individuals who do not otherwise have access to compensation information, unless the disclosure is (a) in response to a formal complaint or charge, (b) in furtherance of an investigation, proceeding, hearing, or action, including an investigation conducted by the employer, or (c) consistent with the contractor's legal duty to furnish information (41 C.F.R. This role provides significant exposure to the global FIG capital markets landscape, including senior unsecured issuance, subordinated debt, preferred securities, Bail-in eligible instruments, covered bonds, securitized funding solutions, FABNs and sustainable finance products.
Fund Compliance Analyst Career Launch AIFund Compliance AnalystNew York, NY$140,000–$185,000Actual openings may vary based on employer type (e.g., private equity, hedge funds, venture capital, or alternative asset managers) and the specific regulatory framework they operate under. It is intended to help job seekers understand the responsibilities and qualifications typically associated with early-career roles in fund compliance, regulatory oversight, and internal control for investment funds.
Manager, Product Integrity & Social Compliance Analyst (Hybrid, New York) Tailored ManagementManager, Product Integrity & Social Compliance Analyst (Hybrid, New York)New York, NY$1–$28 / hourAs part of a small, collaborative team supporting a newer company-wide initiative around product testing and compliance, this individual will help drive quality assurance programs, vendor education, product testing, and regulatory compliance efforts. Collaborate closely with Sourcing, Production, Design, Legal, Merchandising, Retail, Wholesale, and Vendor partners to address product compliance and regulatory requirements across multiple product categories.
Data Security Governance Analyst eTeam Inc.Data Security Governance AnalystNew York, NY$50–$55 / hourThe Data Security Governance Analyst supports the enterprise data security and information protection program by defining, maintaining, and operationalizing governance frameworks, policies, and controls that protect sensitive data throughout its lifecycle. The role focuses on data classification, policy enforcement, risk alignment, and governance reporting, working closely with cybersecurity, data governance, privacy, risk, and technology teams.
IFRS Lending Analyst Lenmar Consulting, Inc.IFRS Lending AnalystNew York, NYHelp assessing lending accounting treatment under IFRS and compare against current US GAAP processes to identify reporting, valuation, and disclosure differences. Document accounting positions, rationale, and materiality assessments for identified US GAAP to IFRS differences that will not be remediated through system enhancements.
Fund Services Analyst Career Launch AIFund Services AnalystNew York, NY$140,000–$185,000Actual openings may vary based on employer type (asset managers, fund administrators, banks, service providers), asset class focus (e.g., hedge funds, private equity, private credit, real estate, registered funds), and fund structure. Fund Services Analysts support the day-to-day servicing and operational integrity of investment funds by coordinating fund administration, accounting, valuation, and reporting processes.
Placement Agent Analyst Career Launch AIPlacement Agent AnalystNew York, NY$140,000–$185,000Placement Agent Analysts support capital raising efforts by assisting fund managers and placement teams in identifying, managing, and communicating with potential investors. It is intended to help job seekers understand the responsibilities and qualifications typically associated with early-career roles in fundraising, capital raising, and private placements.
Fund Investor Services Analyst Career Launch AIFund Investor Services AnalystNew York, NY$140,000–$185,000Fund Investor Services Analysts support fund operations and investor relations teams by managing client onboarding, maintaining investor records, and delivering accurate reporting. Actual openings may vary depending on employer focus, including private equity, venture capital, hedge funds, and multi-asset fund structures.
Fund Lifecycle Analyst Career Launch AIFund Lifecycle AnalystNew York, NY$140,000–$185,000Actual openings may vary based on employer type (asset managers, private equity, private credit, hedge funds, venture capital firms), asset class focus, fund structure, and operational complexity. It is intended to help job seekers understand the responsibilities and qualifications typically associated with early-career roles supporting the full lifecycle of investment funds—from launch and capital raising through investment, operations, reporting, and wind-down.
NeweDiscovery Analyst Michael Page InternationaleDiscovery AnalystNew York, New York$120,000–$145,000 / yearFull timeeDiscovery AnalystGlobal Am Law 50 firm, is seeking a hard-working, proactive, motivated individual to serve as an eDiscovery Analyst. Job DescriptionManage electronic data collection, processing, and analysis for legal and investigative purposes.
Legal & Compliance Analyst Initio CapitalLegal & Compliance AnalystNew York, NY$145,000–$185,000It is provided to help job seekers understand the responsibilities and qualifications typically associated with early-career legal analysis, regulatory compliance, and transaction support roles. This job description represents a sample Legal & Compliance Analyst position commonly found through the Career Launch AI Talent Network .
Compliance Analyst eTeam Inc.Compliance AnalystJersey City, NJ$48–$55 / hourSkills: Knowledge of regulatory frameworks relevant to the industry such as SOX, GDPR, or HIPAA. Responsibilities: Review and assess internal processes to identify potential compliance risks.
Risk & Structuring Analyst Career Launch AIRisk & Structuring AnalystNew York, NY$100,000–$150,000A leading middle-market investment bank or advisory team may seek a Risk & Structuring Analyst to support transaction structuring, risk assessment, and financial modeling for M&A, capital markets, and complex financing transactions. This Risk & Structuring Analyst description reflects opportunities available exclusively to Career Launch AI members, including: Roles shared directly with Career Launch AI by employers.
Capital Markets Fundraising Analyst Career Launch AICapital Markets Fundraising AnalystNew York, NY$140,000–$185,000Capital Markets Fundraising Analysts support investment teams and capital raising efforts by analyzing investor data, preparing marketing materials, and managing communication pipelines with prospective and existing investors. Actual openings may vary depending on employer type (e.g., private equity, hedge funds, venture capital, or asset management firms) and fundraising strategy.
Principal Analyst Relations Manager DatadogPrincipal Analyst Relations ManagerNew York, NY$158,000–$210,000 / yearAbout Datadog: Datadog is the leading observability and security platform for the AI era, providing businesses with unified visibility across the technology stack to manage complexity at scale. You will partner closely with Product Management and Product Marketing to translate complex technical capabilities into compelling narratives, while bringing analyst insights back into the business to inform strategy and positioning.
Legal Entity Controllers Analyst Sumitomo Mitsui Banking CorpLegal Entity Controllers AnalystJersey City, NJ$68,000–$85,000 / yearSMBC), SMBC Nikko Securities America, Inc., SMBC Capital Markets, Inc., SMBC MANUBANK, JRI America, Inc., SMBC Leasing and Finance, Inc., Banco Sumitomo Mitsui Brasileiro S.A., and Sumitomo Mitsui Finance and Leasing Co., Ltd. This position will be responsible for SMBC Nikko Securities America, Inc, a registered broker dealer, which provides investment securities and other financial services to corporate and institutional clients, focusing on North America and Larin America.
Senior Treasury Analyst Opal FuelsSenior Treasury AnalystWhite Plains, NYReporting to the Treasurer and based in our White Plains, NY headquarters, this role will play a key part in optimizing cash resources, strengthening banking relationships, supporting financing activities, and enhancing treasury processes and controls. For additional information, and to learn more about OPAL Fuels and how it is leading the effort to capture North America’s naturally occurring methane and decarbonize the economy, please visit www.opalfuels.com.
Data Governance Analyst Madison-DavisData Governance AnalystJersey City, NJ$75This role will work closely with cybersecurity, privacy, legal, compliance, risk, and technology teams to help strengthen governance processes, support regulatory requirements, and improve enterprise security controls. The ideal candidate is detail-oriented, collaborative, and comfortable working across multiple governance and security disciplines while helping drive operational maturity and risk management initiatives.
Vice President Credit Risk Analyst, Financial Institutions Madison-DavisVice President Credit Risk Analyst, Financial InstitutionsNew York, NY$110,000–$230,000 / yearThis Vice President-level credit risk opportunity sits within the Financial Institutions group of a well-established banking organization, offering broad exposure across correspondent banking relationships, credit analysis, and regulatory compliance. The role blends rigorous credit underwriting with active relationship management requiring someone equally comfortable building and maintaining FI correspondent relationships as they are conducting deep credit analysis and interfacing with regulators.
Senior Operational Due Diligence Analyst Russell Investments Group, LLCSenior Operational Due Diligence AnalystNew York, NY$110,000–$140,000 / yearThe Operational Due Diligence Senior Analyst will identify and assess operational risk factors at prospective and currently funded traditional and alternative (hedge fund, private equity, private real estate, infrastructure) investment managers through the performance of operational due diligence reviews. Your Core Responsibilities: Evaluate business, compliance, and operational risks associated with traditional and alternative investment managers relative to the scope of the Global Manager Operational Due Diligence (GMODD) program requirements by conducting desktop and/or on-site reviews of investment managers globally.
2-Year Analyst/Associate, Infrastructure Credit Carlyle Group Inc.2-Year Analyst/Associate, Infrastructure CreditNew York, NY$110,000–$150,000 / yearThese credit investments offer financing solutions across the capital structure - from investment grade senior debt to below investment grade junior and mezzanine debt - to Carlyle's network of project sponsors, banks and advisors active in the power, energy, transportation, water / waste treatment, digital, and social infrastructure sectors. Pre-MBA candidate or recent MBA graduate with exceptional academic credentials and at 1-3 years of relevant experience in investment banking, project finance, private credit, infrastructure investing, or a related field, with a demonstrated interest in infrastructure private credit.
Senior Product Compliance Analyst Lively, Inc.Senior Product Compliance AnalystNYRemote$105,000–$145,000 / yearYou will field regulatory questions from internal teams, support customer escalations with compliance dimensions, and develop deep expertise in how Lively''s benefit products operate, including the transaction and payment infrastructure that supports them. Internal Subject Matter Expertise: Develop deep expertise in Lively''s benefit products and serve as an internal compliance resource for Product, Engineering, Customer Success, Member Services, and Sales teams.
Business Controls Group ("BCG") - Analyst Guggenheim Partners LLCBusiness Controls Group ("BCG") - AnalystNew York, NY$80,000–$85,000 / yearWorking under the guidance of senior team members, the Analyst will learn to use a variety of surveillance tools and data analytics capabilities to help monitor trading activity, electronic communications, employee personal trading, and operational risk. The Business Controls Group ("BCG") serves as Guggenheim Securities' designated first line of defense, providing delegated supervisory oversight of the firm's Sales & Trading and Equity Research operations.
Senior Compliance Analyst OneStream Software LLCSenior Compliance AnalystNYRemote$99,000–$128,500 / yearThe ideal candidate will have experience assessing security controls, supporting customer due diligence and contract reviews, and partnering across teams to address compliance, security, and audit requirements. It's the only enterprise finance platform that unifies financial and operational data, embeds AI for better decisions and productivity, and empowers the CFO to become a critical driver of business strategy and execution.
Marketing Compliance Analyst/Associate Apollo Global ManagementMarketing Compliance Analyst/AssociateNew York, NY$100,000–$120,000 / yearReview and approve marketing materials, investor communications, websites, social media content, thought leadership, quarterly letters, webcasts, and other external communications to ensure compliance with applicable regulatory requirements and firm policies. Through Athene, our retirement services business, we specialize in helping clients achieve financial security by providing a suite of retirement savings products and acting as a solutions provider to institutions.
US Corporates - Credit Analyst, Associate Director - Retail & Consumer - New York Fitch RatingsUS Corporates - Credit Analyst, Associate Director - Retail & Consumer - New YorkNew York, NY$115,000–$135,000 / yearWe'll Count on You To: Perform analysis of key quantitative and qualitative factors influencing the credit quality of companies in the Retail & Consumer sectors; Develop and maintain comprehensive financial models; Conduct meetings with Retail & Consumer industry management teams; Present analysis of companies to internal credit rating committees; Involvement in communicating rating rationale to external audiences (primarily institutional investors, sell-side analysts and media) in meetings, conference calls, press releases and written research reports; Write timely and effective research on topical issues. What You Need to Have: Bachelor's degree at minimum, MBA or other advanced degree a plus; CFA/CPA preferred; 4+ years relevant experience, which must include some coverage or knowledge of the Retail & Consumer sectors; Capital markets and/or credit analysis experience a plus; Employee management experience a plus; Expertise in Excel and Word; Strong analytical, quantitative, and organizational skills; Excellent written and verbal communication skills; Ability to shift fluidly between multiple projects as priorities change; Ability to excel in a team oriented environment.
Compliance Analyst CareerscapeCompliance AnalystNew York, NY$75,000–$95,000 / yearFull timeThe Compliance Analyst will work with legal, operations, risk, and business teams to review procedures, track regulatory updates, assist with audits, and help resolve compliance issues. This role supports the monitoring, documentation, and reporting activities required to maintain compliance with internal policies and applicable regulations.
18099-Fin Contingent | Financial Analyst-NY Pride Global18099-Fin Contingent | Financial Analyst-NYNew York, NY$43.36 / hourThis role is ideal for professionals with experience in loan product control, investment banking accounting, or financial reporting who enjoy working on process improvements, accounting analysis, and cross-functional projects. Our client, a leading global financial services firm, is seeking a Financial Analyst II to support a major IFRS lending accounting transformation initiative.
Legal Technology Analyst-Practice Solutions Dale Workforce SolutionsLegal Technology Analyst-Practice SolutionsNew York, NY$115,000–$150,000 / yearThe ideal candidate will have hands-on experience administering, supporting and configuring a variety of legal technologies, as well as experience working directly with attorneys in a legal department or law firm setting. Working within the Practice Solutions team, this role combines technical configuration skills with a strong understanding of legal workflows to ensure that tools are optimized for attorney and staff use.
2027 Bachelor''s/Master''s graduates Economics Consulting Analyst/Associate CRA International Inc2027 Bachelor''s/Master''s graduates Economics Consulting Analyst/AssociateNew York, NY$92,500–$100,000 / yearWork alongside, and in a collaborative environment with, talented and diverse colleagues, including PhD-trained economists, finance and accounting professionals (CFAs and CPAs), and valuation experts; Conduct economic and industry research while analyzing client materials to build an understanding of a case's issues; Perform/develop financial and economic analyses or valuation models to support case theories and present those results to colleagues and clients; Program, build models, and perform regression analyses using languages such as Excel, Stata, R, Python, SQL, or SAS; Develop familiarity with data that serves as input to these analyses, including company transactional data (e.g., confidential sales data or win/loss data), financial reporting, accounting statements, and social and economic survey data, as well as non-financial measures of organizational performance; Review and summarize analyst reports, academic literature, client documents, depositions, license agreements, and industry trade press; Assist in the production and development of research summaries, expert reports, and the presentation of findings, including creation of visuals like tables and charts; Ensure reliability of analysis through quality control review. If you are graduating from an MBA/PhD program or have work experience, please visit our Careers site to see current open roles; Writing Sample - we prefer a sole-authored submission from an existing work (class paper, thesis, internship, or work product) that includes your commentary on a quantitative analysis and/or relevant to the field of economics.
Credit Risk Analyst/Associate Nomura Holdings IncCredit Risk Analyst/AssociateNew York, NY$85,000–$120,000 / yearThe process for managing credit risk at Nomura includes: Evaluation of likelihood that a counterparty defaults on its payments and obligations; Assignment of internal ratings to all active counterparties; Approval of extensions of credit and establishment of credit limits; Measurement, monitoring and management of Nomura's current and potential future credit exposures; Setting credit terms in legal documentation, including margin terms; and. By connecting markets East & West, Nomura services the needs of individuals, institutions, corporates and governments through its three business divisions: Wealth Management, Investment Management, and Wholesale (Global Markets and Investment Banking).
Analyst - Solebury Investor Relations PNC BankAnalyst - Solebury Investor RelationsStamford, ConnecticutIn addition, PNC generally provides the following paid time off, depending on your eligibility: maternity and/or parental leave; up to 11 paid holidays each year; 9 occasional absence days each year, unless otherwise required by law; between 15 to 25 vacation days each year, depending on career level; and years of service. This position is subject to the requirements of Section 19 of the Federal Deposit Insurance Act (FDIA) and, for any registered role, the Secure and Fair Enforcement for Mortgage Licensing Act of 2008 (SAFE Act) and/or the Financial Industry Regulatory Authority (FINRA), which prohibit the hiring of individuals with certain criminal history.