Compliance Consultant - mid-senior level

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 and venture capital firms, to name a few. 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 are ideally targeting the 4-10 year mark for relevant years of experience. 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 experience with marketing review, paired with additional experience in any of the following:

• drafting Form ADV part 2
• annual reviews
• creating compliance manuals
• policies and procedures
• quarterly and annual processes such as e-comm reviews, client employee social media reviews, client website reviews
• performance calculations and fee/expense testing
• vendor due diligence reviews
• annual updates to certification packages, compliance calendar and risk assessments for clients

A background with buy-side 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 want these individuals to business develop. Their roles are solely focused on compliance tasks and interacting with clients.

The SR Group (US), Inc. is acting as an Employment Agency in relation to this vacancy.

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