🕒 3 days ago
Execute and operate compliance programs across SOC 2, ISO certifications, and FedRAMP, owning audit delivery, control monitoring, vendor risk, customer security assurance, and compliance automation.
Partnership Compliance Consultant
🕒 3 days ago
Compliance ConsultingCompliance ReviewsSEC ExaminationsFINRA Examinations
📜 Description
- Conduct compliance reviews, mock SEC and FINRA examinations, and branch office assessments for investment advisers and broker-dealers.
- Manage engagements from planning and testing through documentation, reporting, and remediation guidance.
- Prepare risk-rated reports that identify regulatory gaps and recommend corrective actions.
- Advise clients on securities regulations, FINRA rules, and Regulation Best Interest, and communicate findings to stakeholders.
- Review Associate Consultants’ work and mentor them in regulatory knowledge, analysis, and client service.
- Develop industry education, support compliance technology adoption, and contribute technical expertise to prospective client discussions.
🛠️ Requirements
- A degree in law, finance, or a related discipline, or equivalent professional experience in compliance.
- Previous experience in compliance consulting or delivering compliance services within a financial services firm.
- Strong knowledge of the Investment Advisers Act of 1940 and/or the Securities Exchange Act of 1934, along with relevant FINRA rules and regulatory requirements, including Regulation Best Interest.
- Demonstrated ability to conduct compliance reviews, assess regulatory risks, evaluate controls, identify deficiencies, and develop practical remediation recommendations.
- Strong analytical and problem-solving skills, with exceptional attention to detail and the ability to interpret complex regulatory requirements.
- Excellent written communication skills, including the ability to prepare clear, well-organized reports and communicate technical findings to non-technical stakeholders.
- Strong interpersonal and relationship management skills, with the ability to build trust and collaborate effectively with clients, colleagues, and senior-level stakeholders.
- Ability to manage multiple client engagements, prioritize competing deadlines, and deliver high-quality work independently.
- Willingness and ability to travel approximately 20–30% of the time to client sites across the United States.
- Proficiency in Microsoft Office Suite, including the tools needed for documentation, analysis, reporting, and presentations.
✨ Benefits
- Competitive base salary: $110,000–$140,000 per year, depending on qualifications, skills, training, certifications, and experience.
- Total compensation: Estimated all-in compensation of $121,000–$154,000, including applicable bonus and benefits offerings.
- Remote work flexibility: A remote-based position with a combination of virtual consulting, office-based work, and client-site visits.
- Professional development: Opportunities to expand regulatory expertise, strengthen consulting skills, and develop leadership capabilities through mentoring and client engagement.
- Industry exposure: Opportunities to work with investment advisers, broker-dealers, and other financial services organizations on complex regulatory and compliance challenges.
- Thought leadership opportunities: Participation in conferences, webinars, educational initiatives, and professional content development.
- Technology-driven environment: Exposure to compliance software, RegTech solutions, and emerging AI-assisted tools that support more effective compliance management.
- Collaborative culture: Opportunities to work with experienced compliance professionals, consultants, and sales teams in a knowledge-sharing environment.
- Meaningful client impact: The opportunity to help financial services organizations improve regulatory readiness, strengthen internal controls, and reduce compliance risk.
Full job description
This position is listed on behalf of a partner company, which manages all applications and next steps. Our partner is looking for a Partnership Compliance Consultant based in the United States.
This is an excellent opportunity for a compliance professional to help financial services firms strengthen their regulatory frameworks and maintain audit and examination readiness. In this client-facing role, you will conduct compliance reviews, mock regulatory examinations, and branch office assessments for investment advisers and broker-dealers. You will translate complex regulatory requirements into clear, risk-rated findings and actionable recommendations that help clients mitigate risks and improve compliance practices. Working directly with clients, you will manage engagements from planning and testing through reporting and remediation guidance. You will also mentor junior consultants, contribute to industry education, and support the adoption of innovative compliance technology. This role offers a dynamic blend of regulatory expertise, consulting, relationship management, and professional development, with a combination of remote work, office-based activities, and client-site visits.
Accountabilities:
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