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Role Overview:
- Provide hands-on compliance consulting to investment advisers and broker-dealers.
- Manage engagements from planning through reporting and remediation.
Key Responsibilities:
- Mentor junior consultants and deliver educational content.
- Advise clients on regulatory frameworks and use of compliance technology.
Qualifications:
- Strong regulatory knowledge (SEC, FINRA, Reg BI).
- Excellent communication skills and willingness to travel 20-30%.
Confidential
This company provides compliance consulting services to financial services firms, helping investment advisers and broker-dealers strengthen regulatory frameworks and maintain audit readiness. It fosters a collaborative, technology-driven culture with opportunities for professional development, mentorship, and industry thought leadership.