Senior Compliance Consultant

Senior Compliance ConsultantBack Bay Staffing Group seeks a Senior Compliance Consultant to join our client's rapidly growing consulting services business. This position will be responsible for providing high-touch consulting services to our client's broker-dealer clients, and assist with business development.Key Responsibilities:Manage the client new membership application process for broker-dealersDraft customized written supervisory procedures and other required policies and proceduresServe as a compliance partner to broker-dealer clientsProvide ongoing consulting services, including but not limited to:Conducting annual compliance meetings and office inspectionsAssisting with annual 3120 reviews and 3130 reports and certificationsReviewing marketing materialManaging CRD filingsAssisting with client sales practice examsAdvising on, and responding to, regulatory inquiriesBeing available for ad hoc consultative servicesAssist with business development and outreachConducts self in a professional mannerResponsible for reporting to senior management, including any potential or perceived violations of applicable laws, rules or company policiesQualifications:Bachelor's degree or equivalent 3 to 7 years of broker-dealer compliance experience in a retail setting Detailed knowledge of client rules Client Series 7 and 24 preferred Excellent communication and presentation skills Ability to work effectively and efficiently with multiple clients Ability to travel (10-15% of time) Interest in and commitment to business growth Ability to work independently and manage time efficiently