Compliance Consultant
We are partnered with a boutique compliance consulting firm, in the financial services sector, looking to add consultants to their team. There are multiple positions available. They pride themselves on providing bespoke solutions for their clients, namely private equity clients. The firm is highly collaborative and professional, and the positions exist because they have a successful model that has allowed them to grow, requiring more support. This is a firm known to take care of their consultants who come in and get the job done.
They operate on a fully remote basis and they are quite productive, so this opportunity requires someone who is a self-starter and highly disciplined. There is a preference for candidates in eastern and central time zones.
The required skillset that they need the most, currently, is someone with a background in any of the following:
- Code of ethics with experience using any of the following software: ComplySci, Paragon, MCO or ComplianceAlpha
- Compliance manual and policy updates/buildouts – this includes annual updates to these documents but also building them out for new clients and new registrants
- Marketing review
- Form ADV (particularly part 2)
- Annual reviews
- Performance calculations and fee/expense testing
A background with private equity clients (whether in-house or at a consulting or law firm) is preferred. It’s vital that candidates enjoy and are able to speak professionally with clients as this role is high-touch and will involve interfacing with them frequently. Strong writing skills are also necessary.
Books of business are not necessary as they do not need these individuals to business develop.
The SR Group (US), Inc. is acting as an Employment Agency in relation to this vacancy.
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