Partnership Compliance Consultant

This position is listed on behalf of a partner company, which manages all applications and next steps. Our partner is looking for a Partnership Compliance Consultant based in the United States. This is an excellent opportunity for a compliance professional to help financial services firms strengthen their regulatory frameworks and maintain audit and examination readiness. In this client-facing role, you will conduct compliance reviews, mock regulatory examinations, and branch office assessments for investment advisers and broker-dealers. You will translate complex regulatory requirements into clear, risk-rated findings and actionable recommendations that help clients mitigate risks and improve compliance practices. Working directly with clients, you will manage engagements from planning and testing through reporting and remediation guidance. You will also mentor junior consultants, contribute to industry education, and support the adoption of innovative compliance technology. This role offers a dynamic blend of regulatory expertise, consulting, relationship management, and professional development, with a combination of remote work, office-based activities, and client-site visits. Accountabilities: - Deliver hands-on compliance consulting services to financial services clients through on-site visits, remote engagements, and office-based activities. - Conduct comprehensive compliance reviews, mock SEC and FINRA examinations, and branch office reviews for registered investment advisers and broker-dealer firms. - Manage Partnership engagements throughout the full review lifecycle, including planning, testing, documentation, findings, reporting, and remediation guidance. - Provide proactive client support and ensure timely, high-quality delivery of consulting engagements in line with agreed objectives and deadlines.

- Prepare clear, structured, risk-rated compliance reports that prioritize findings, identify regulatory gaps, and recommend practical corrective actions. - Advise clients on relevant regulatory frameworks, including the Investment Advisers Act of 1940, the Securities Act of 1933, the Securities Exchange Act of 1934, FINRA supervision rules such as Rules 3110 and 3120, and Regulation Best Interest (Reg BI). - Communicate compliance findings and recommendations effectively to client stakeholders at different organizational levels, helping leadership understand risks and determine appropriate remediation priorities. - Review the workpapers, analyses, and findings prepared by Associate Consultants to ensure accuracy, consistency, and compliance with internal quality standards. - Mentor and support Associate Consultants in their technical development, regulatory knowledge, analytical capabilities, and client service delivery. - Develop and deliver educational content for industry conferences, webinars, and other professional learning initiatives, contributing to thought leadership and regulatory awareness. - Guide clients in using compliance technology solutions to improve regulatory oversight, streamline workflows, and strengthen their compliance programs. - Collaborate with sales teams on prospective client discussions, pre-sales consultations, and proposals, providing technical expertise and helping align solutions with client needs. - Stay informed about regulatory developments, emerging compliance risks, and technology innovations to ensure consulting recommendations remain relevant and effective. - Travel to client locations as needed to deliver engagements, build relationships, and support successful project outcomes. Requirements: - A degree in law, finance, or a related discipline, or equivalent professional experience in compliance. - Previous experience in compliance consulting or delivering compliance services within a financial services firm.