Comprehensive Compliance Consultant

TL;DR

Comprehensive Compliance Consultant (Regulatory Services): Provide proactive consulting services to clients including drafting disclosure documents, policies, procedures, code of ethics, and advising on investment adviser compliance matters with an accent on managing compliance calendars and regulatory activities. Focus on participating in product development, sales collaboration, educational webinars, and regulatory working sessions to implement new rules and standards.

Location: Remote (United States) Applicants must be authorized to work for any employer in the United States; unable to sponsor or take over sponsorship of employment Visa

Salary: $85,000 - $126,500 a year

Company

Leading provider of compliance SaaS and consulting services for the global financial services sector with more than 5,000 clients including broker-dealers, insurers, investment banks, private funds, RIAs, and wealth managers.

What you will do

• Provide proactive consulting services including drafting disclosure documents, policies, procedures, code of ethics, and guidance on investment adviser compliance matters.
• Assist clients in managing Compliance Calendar and related activities using internal software.
• Respond to client emails and phone inquiries on compliance matters.
• Participate in product and service development and guide clients on products/modules.
• Collaborate with sales on pre-sales calls and assist with educational webinars and conferences.
• Engage in regulatory small groups to develop, interpret, and implement new rules and standards.
• Travel limited to 10% for client training, conferences, and events.

Requirements

• Law degree and/or equivalent regulatory compliance experience.
• Knowledge and understanding of the Investment Advisers Act of 1940.
• Ability to engage in complex problem solving and analytical thinking.
• Excellent interpersonal skills to manage relationships at all levels.
• Demonstrated ability to work in a client service-oriented, collaborative environment.
• Proficient in Microsoft Office Suite (Excel, Word, PowerPoint, Outlook) and Salesforce.

Culture & Benefits

• Work in a growing team delivering high-quality services to financial services clients.
• Opportunity to stay current on evolving compliance requirements through webinars and conferences.
• Wide range of perks offered to employees; visit hirify.global.com/careers for details.