Partnership Compliance Consultant
New
United StatesFull-TimeMiddle
Salary110,000 - 140,000 USD per year
Apply NowOpens the employer's application page
Job Details
- Required Skills
- ComplianceMicrosoft Office SuiteRisk Management
Requirements
- Law or financial degree and/or equivalent compliance experience.
- Knowledge of the Investment Advisers Act of 1940 and/or Securities Exchange Acts.
- Knowledge of FINRA rules and regulations governing broker dealers.
- Ability to engage in complex problem solving and analytical thinking.
- Excellent interpersonal skills for managing relationships with stakeholders.
- Demonstrated ability to work effectively in a client service-oriented environment.
- Willingness and ability to periodically travel onsite to clients.
- Proficiency in Microsoft Office Suite (Excel, Word, PowerPoint, & Outlook).
Responsibilities
- Perform both on-site and office-based ongoing consulting services to financial services clients.
- Conduct on-site and remote compliance reviews of investment adviser and/or broker dealer firms.
- Provide proactive support and timely execution of service deliverables for annual Partnership engagements.
- Collaborate with sales representatives on prospect calls and proposal creation.
- Provide guidance on new or existing company products/modules.
- Prepare client content for conferences, webinars, and education materials.
- Prepare marketing content and materials.
- Participate in the development and maintenance of products and services.
- Assist Senior Consultants with various tasks.
- Mentor and oversee Partnership Associate Consultants.
View Full Description & ApplyYou'll be redirected to the employer's site
