This description is a summary of our understanding of the job description. Click on 'Apply' button to find out more. Role Description As a Compliance Surveillance Analyst, you will play a crucial role in supporting our content generation while protecting our clients from potentially sensitive information. You will gain extensive knowledge of Tegus’ cutting-edge compliance program to facilitate the review of expert call transcripts. This role is fast-paced, so agility and ability to work under a tight deadline are key. - Serve as the first human layer of review for expert call transcripts to detect and resolve any instances of material nonpublic and confidential information in accordance with internal protocols, applicable laws/regulations, and industry standards. - Complete due diligence review of each call, document any violations comprehensively, and escalate non-compliance with Tegus sourcing guidelines as necessary. - Conduct advanced research of financial reports and regulatory filings using internal databases and external resources to determine the extent to which information exists in the public domain. - Proactively manage internal and external communications while maintaining efficiency and adaptability in a fast-paced, time-sensitive environment. - Perform administrative tasks, including but not limited to, inputting, tracking, and maintaining accurate data on processes, transcripts, and workflows, while identifying opportunities to improve operational efficiency. Qualifications - 1-2 years of experience as a paralegal, legal assistant, compliance/financial/business analyst, or similar is preferred, but not required. - Strong transferrable skills, such as research and analysis, are also highly valued. - Acute attention to detail and strong reading comprehension with proofreading, drafting, and investigative/research experience. - Ability to effectively prioritize tasks, manage time, and remain highly organized while working independently. - Thrives in a dynamic, fast-paced environment, with the ability to adapt quickly to changing priorities and contribute to innovative solutions that support Tegus’ business needs. Requirements - Base Compensation Range: $53,000 — $57,000 USD Benefits - You may also be offered a performance-based bonus, equity, and a generous benefits program. Company Description AlphaSense is an equal-opportunity employer. We are committed to a work environment that supports, inspires, and respects all individuals. All employees share in the responsibility for fulfilling AlphaSense’s commitment to equal employment opportunity. AlphaSense does not discriminate against any employee or applicant on the basis of race, color, sex (including pregnancy), national origin, age, religion, marital status, sexual orientation, gender identity, gender expression, military or veteran status, disability, or any other non-merit factor. This policy applies to every aspect of employment at AlphaSense, including recruitment, hiring, training, advancement, and termination. In addition, it is the policy of AlphaSense to provide reasonable accommodation to qualified employees who have protected disabilities to the extent required by applicable laws, regulations, and ordinances where a particular employee works.

• Participate in provision of regulatory expertise in strategic drug development across multiple areas. • Take part in preparation of strategic development and submission plans. • Be involved in the regulatory affairs activities across the ICON portfolio and be an expert and advisor to ICON clients (externally and internally). • Be a trusted partner - represent the Regulatory Affairs Department in business development activities and generate new business opportunities. • Contribute to at least two of the following areas: interactions with regulatory agencies, early phase consulting, development planning (PDP/RDP/CDP), scientific/agency advice, orphan drugs/pediatric development, medical devices, regulatory intelligence, due diligence, strategic CT support/GCP compliance, biological/biotech/biosimilars, small company support (incl. SOPs development etc.).

Chief Compliance Officer $275,000k – $325,000k • meaningful equity About Novig Novig is building America's #1 sports prediction market. Founded by Jacob Fortinsky and Kelechi Ukah, we are the only platform to offer commission-free sports trading. We deliver better pricing, full transparency, and a more efficient market structure for users by eliminating the traditional sportsbook model. Backed by the best - Novig has raised over $100M from some of Silicon Valley’s top investors including Pantera, Forerunner, Lux, NFX, Paul Graham, and Joe Montana. Who we are We’re here to fix a rigged system where the house always wins and sports fans always lose. Novig is building the future of sports betting. Our mission is to financialize and democratize sports betting - transforming it from a closed, casino-controlled system into a two-sided, fair, efficient market where users have the power. Who you are and why this role will excite you - Excited to build and lead a best-in-class compliance framework that brings institutional-grade regulatory rigor to the future of sports prediction markets - Motivated to apply deep expertise in CFTC DCM Core Principles to design, implement, test, monitor, document, and continuously enhance a scalable compliance program as the business evolves - Prepared to serve as the primary internal owner of the compliance framework, with the authority and judgment to identify issues, recommend solutions, and escalate matters to the Chief Regulatory Officer when appropriate - Experienced in directly managing regulatory examinations, audits, and inquiries — including preparation of materials, coordination of responses, and engagement with regulators - Energized by partnering cross-functionally with Information Security (cybersecurity and systems controls), Surveillance (market monitoring and abuse prevention), Finance and Regulatory Finance (financial resource requirements and reporting), Legal (regulatory interpretation and external counsel coordination), and Engineering and Product to embed regulatory requirements directly into systems and workflows - Interested in supporting regulatory initiatives and future expansion, including preparation for potential DCO Core Principle compliance - Confident representing the organization externally with regulators, policymakers, trade associations, and industry participants in coordination with the Chief Regulatory Officer - Thrive in a hands-on leadership role where seniority means thoughtful execution, ownership, and close collaboration with a high-performing team Why work here, in the words of the people who do “I work with extremely stellar people, I own real systems, and decisions happen fast. No politics, no waiting for needless red tape. If something's broken, I fix it. If I build something good, it ships.” “The people! So smart, thoughtful, fun to work with, passionate about their craft, etc” “I'm having the most fun I've had in my entire career.” If you want responsibility, trust, and the chance to help build the future of sports prediction markets - take your shot, we’d love to connect. Not for everyone - Our work is tied to live sports - that means potential nights, weekends, and pressure included. - If you need clear swim lanes, a heavy process, or someone to tell you what to do, this won’t be the right environment. Compensation & benefits - $275,000k – $325,000k base, benchmarked at top-tier tech companies - Meaningful equity for every employee, regardless of role - 100% health premiums covered - 99% dental & vision covered - 401(k) with 4% company match - HSA + $1,080 annual company contribution - $27/day lunch stipend when working from our NYC office - $35/day dinner stipend when working from the NYC office after 6:30pm Homebase Union Square, NYC or Remote

This description is a summary of our understanding of the job description. Click on 'Apply' button to find out more. Role Description This role involves supporting and strengthening the US compliance function for an SEC-regulated wealth and investment business. - Maintain SEC regulatory compliance across the RIA - Oversee ongoing monitoring, testing, and surveillance activities - Support regulatory filings, including Form ADV updates and amendments - Manage and execute the compliance calendar - Provide real-time compliance advisory support to leadership and advisers - Identify and mitigate any transition-related risk gaps - Enhance policies, procedures, and compliance documentation - Strengthen testing and monitoring programmes - Support regulatory examinations and audits - Improve automation and scalability of compliance processes - Partner with legal, operations, and investment teams to embed compliance best practice Qualifications - 5–10+ years of SEC RIA compliance experience - Experience operating in a senior compliance role (Head, Deputy Head, or Senior Manager) - Strong working knowledge of: - Investment Advisers Act - Form ADV and regulatory filings - Code of Ethics - SEC Marketing Rule - Custody Rule - Books and records requirements - Experience supporting or managing regulatory examinations - Ability to operate effectively in a fast-growth environment - Pragmatic, hands-on approach to compliance Requirements - Experience in international wealth or cross-border firms - Relevant licences or credentials (e.g., Series 65/7) - Experience building or enhancing compliance infrastructure Success Measures (First 90 Days) - Seamless continuity of regulatory oversight - Compliance calendar stabilised and executed - Key risk areas identified and addressed - Clear roadmap developed for process improvement and scalability - Strong working relationship established with the Chief Compliance Officer and leadership team