Compliance Consultant – Investment Solutions


The Company

Our client is a leading producer of compliance/registration solutions and services for investment and financial services companies [including Investment Advisors, Broker-Dealers, Hedge-Funds, Banks and Insurance].

Position: Compliance Consultant – Investment Solutions
Status: CLOSED

Primary Responsibilities

The company is looking for a Consultant [full time position, not contractor] to

  • Advise clients on regulatory and security compliance
  • Work internally with sales, marketing, product development, and conferences/education to optimize product knowledge and effective communication
The company has offices in Manhattan and Connecticut. The job requires extensive travel, up to 50%.

Your colleagues will include veteran compliance and registration specialists, including former regulatory examiners (SEC, State and NASD), industry CCOs and attorneys. Consultants combine their knowledge of regulations and industry best practices to provide sound and practical guidance designed to meet clients’ specific business needs.

Skills and Experience

Candidates should have significant knowledge and advisory experience in SEC regulations and investment compliance, including the following areas:

  • Investment Advisers Act of 1940 and related rules and industry practices
  • FINRA rules and regulations governing broker dealers
  • Investment Company Act of 1940
  • Securities Exchange Acts
  • A degree in law or finance is preferred
  • Compliance experience, internally at a bank or corporation, or externally as a consultant, is a strong plus
  • Strong interpersonal and writing skills are a must

This position is closed.
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