Compliance Consultant

This is a fully remote position, open to applicants in United States.

📋 Description

• Take ownership and manage comprehensive compliance programs for a portfolio of RIA clients, acting as their outsourced Chief Compliance Officer.

• Lead client engagements from initial strategy development to execution, serving as the main compliance advisor and a trusted contact for executives and board members.

• Mentor and guide junior consultants, reviewing their work and actively contributing to their professional growth.

• Represent the firm in critical meetings with C-suite executives, board members, and regulatory bodies.

• Design and continuously improve customized compliance programs that align with SEC and state regulatory standards.

• Draft, revise, and maintain compliance policies, procedures, manuals, and training materials that are clear, practical, and ready for audits.

• Conduct compliance risk assessments, mock examinations, and annual reviews, including SEC Rule 206(4)-7 evaluations.

• Monitor developments in SEC, FINRA, and state regulations, proactively communicating their implications to clients.

• Prepare and manage regulatory filings, such as Forms ADV, U4, and other necessary documentation.

• Guide clients through regulatory examinations and any necessary remediation efforts.

• Provide advice on day-to-day compliance inquiries as well as long-term strategic regulatory issues.

• Utilize AI-enabled consulting workflows to offer scalable, technology-driven compliance solutions.

⛳️ Requirements

• Over 3 years of compliance experience in the financial services sector, specifically with direct RIA compliance experience.

• Experience serving as or providing support to a Chief Compliance Officer at a Registered Investment Adviser.

• Strong understanding of the Investment Advisers Act of 1940, Form ADV, the Marketing Rule, and Code of Ethics requirements.

• Demonstrated success in designing and managing compliance programs from start to finish.

• Proficient in drafting compliance policies, procedures, and manuals.

• Experience leading client relationships and managing complex engagements effectively.

• Ability to mentor and cultivate junior team members.

• Familiarity with fintech business models and the regulatory landscape for emerging financial services.

• Exceptional communication and presentation skills, including the ability to present to executives and regulators.

• Bachelor's degree in Law, Finance, Business, or a related field; JD or relevant certifications are a plus.

• A self-starter who excels working independently in a dynamic, fully remote consulting environment.

🏝️ Benefits

• Dental insurance

• Paid time off

• Retirement plan

• Vision insurance