Senior Compliance Consultant

Senior Compliance Consultant

Back Bay Staffing Group seeks a Senior Compliance Consultant to join our client's rapidly growing consulting services business. This position will be responsible for providing high-touch consulting services to our client's broker-dealer clients, and assist with business development.

Key Responsibilities:

• Manage the client new membership application process for broker-dealers
• Draft customized written supervisory procedures and other required policies and procedures
• Serve as a compliance partner to broker-dealer clients
• Provide ongoing consulting services, including but not limited to:
• Conducting annual compliance meetings and office inspections
• Assisting with annual 3120 reviews and 3130 reports and certifications
• Reviewing marketing material
• Managing CRD filings
• Assisting with client sales practice exams
• Advising on, and responding to, regulatory inquiries
• Being available for ad hoc consultative services
• Assist with business development and outreach
• Conducts self in a professional manner
• Responsible for reporting to senior management, including any potential or perceived violations of applicable laws, rules or company policies

Qualifications:

Bachelor's degree or equivalent 3 to 7 years of broker-dealer compliance experience in a retail setting Detailed knowledge of client rules Client Series 7 and 24 preferred Excellent communication and presentation skills Ability to work effectively and efficiently with multiple clients Ability to travel (10-15% of time) Interest in and commitment to business growth Ability to work independently and manage time efficiently