Compliance Consultant and Supervisory Specialist
Salary: $120,000 to $160,000
Company Summary:
This investment bank leads in providing legal and compliant solutions for the securities brokerage sector. Offering a white-labeled regulatory and compliance back-office solution, the firm supports various private market dealings. Being the Compliance Consultant and Supervisory Specialist involves ensuring regulatory compliance and overseeing supervisory tasks for broker-dealer consulting clients. Responsibilities include conducting audits, managing advertising reviews, overseeing onboarding processes, and providing Series 24 support to the operations team.
The Compliance Consultant will be responsible for:
- Perform 3120 audits to ensure FINRA rule compliance.
- Review advertising for industry guideline adherence.
- Manage WSPs for consulting clients.
- Stay current on regulatory changes and industry best practices.
- Provide Series 24 support, including training, to the broker-dealer's operations team.
- Aid in overseeing capital raise and M&A transactions with documentation.
The Compliance Consultant will have the following qualifications:
- Bachelor's degree in finance or related field.
- Holds FINRA Series 24, 79, 82, and 63 licenses.
- Certified Anti-Money Laundering Specialist (CAMS) or equivalent AML certification.
- Over 10 years of FINRA Broker-Dealer compliance experience.
- Proficient in the FINRA Gateway system.
- Works during Pacific Time Zone office hours (GMT -7).
- Certified Regulatory Compliance Professional (CRCP).
- Experienced in capital raise and M&A transactions.
- Previous supervisory role in a broker-dealer setting.
Benefits:
- 100% Remote work
- Generous Paid time-off
- Additional 17 Flex Days
- Virtual After-Office Activities
- Diverse Culture & Inclusive environment
- Benefits Package [if applicable]
- Paid Family Leave [if applicable
