Compliance Services Consultant

Job Summary

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