FINRA Licensed Compliance Consultant

Job Summary

To support the review and approval of Outside Business Activities (OBAs) and Passive Investments, the fully remote Compliance Consultant will leverage their FINRA Series 7 and Series 24 licenses to assess compliance risks and partner with stakeholders while managing a high-volume workload.

Key responsibilities

• Review and approve Outside Business Activities (OBAs) and Passive Investments in accordance with FINRA regulations
• Identify and assess potential compliance risks, conflicts of interest, and regulatory concerns
• Communicate with internal stakeholders to gather information and ensure accurate approvals

Required qualifications

• FINRA Series 7 and Series 24 licenses (required)
• 2-3+ years of experience in financial services or a compliance-related role
• Strong ability to work independently and make sound, risk-based decisions
• High attention to detail and strong organizational skills
• Ability to manage multiple priorities and adapt to evolving business needs