Partnership Compliance Consultant

📋 Description

• Deliver hands-on compliance consulting services to financial services clients through on-site
• Conduct comprehensive compliance reviews, mock SEC and FINRA examinations, and branch office
• Manage Partnership engagements throughout the full review lifecycle, including planning, testing
• Provide proactive client support and ensure timely, high-quality delivery of consulting engagements
• Prepare clear, structured, risk-rated compliance reports that prioritize findings, identify
• Advise clients on relevant regulatory frameworks, including the Investment Advisers Act of 1940

🎯 Requirements

• A degree in law, finance, or a related discipline, or equivalent professional experience in
• Previous experience in compliance consulting or delivering compliance services within a financial
• Strong knowledge of the Investment Advisers Act of 1940 and/or the Securities Exchange Act of 1934
• Demonstrated ability to conduct compliance reviews, assess regulatory risks, evaluate controls
• Strong analytical and problem-solving skills, with exceptional attention to detail and the ability
• Excellent written communication skills, including the ability to prepare clear, well-organized

🎁 Benefits

• Competitive base salary: $110,000–$140,000 per year, depending on qualifications, skills, training
• Total compensation: Estimated all-in compensation of $121,000–$154,000, including applicable bonus
• Remote work flexibility: A remote-based position with a combination of virtual consulting
• Professional development: Opportunities to expand regulatory expertise, strengthen consulting
• Industry exposure: Opportunities to work with investment advisers, broker-dealers, and other
• Thought leadership opportunities: Participation in conferences, webinars, educational initiatives