Owning senior-level client relationships, the full-time Compliance Services Consultant will manage a focused portfolio of consulting clients, provide guidance on regulatory compliance matters, and lead compliance functions while working remotely in the United States. Key responsibilities Manage and prioritize a dynamic book of consulting clients, providing hands-on guidance during routine compliance matters and heightened regulatory events Execute annual reviews and risk assessments, and oversee junior team members in compliance functions such as personal trade review and email review Participate in mock exams, risk assessments, registrations, and filings, with exposure across various client types including Retail, Institutional/RIC, and Private Fund firms Required qualifications 7+ years of experience in the regulated investment industry, with a focus on compliance, preferably with recent experience working for a U.S. regulator 3+ years of experience as an in-house Chief Compliance Officer Strong working knowledge of relevant securities laws and regulations, including the Investment Advisers Act and Investment Company Act Bachelor's degree or equivalent combination of experience and industry certification; a law degree or professional designation is a plus Proficient in regulatory filing platforms and Microsoft product suite, with an ability to use artificial intelligence to enhance efficiency
Compliance Services Consultant in workfromhome at Unknown Company
This position is listed as full time and able to be worked remotely.