FINRA Licensed Compliance Consultant

Job Summary

Supporting staff and advisors in reviewing and approving Outside Business Activities (OBA's) and Passive Investments, the remote contract Compliance Consultant will ensure compliance with FINRA regulations and firm policies while demonstrating a strong desire to learn and apply technical knowledge.

Key responsibilities

• Review and approve Outside Business Activities and Passive Investments in accordance with compliance regulations
• Identify potential conflicts or risks and make risk-based decisions
• Engage in discussions regarding regulatory requirements and company policies with stakeholders

Required qualifications

• 2-3 years of experience in the financial industry
• FINRA Series 7 and 24 registrations are required
• Proficiency in Microsoft Word, Excel, Adobe, and SharePoint
• Ability to act independently within the scope of control
• Experience in assessing risks related to industry regulations and company policies