Job Description

Compliance Consultant

We are seeking a proactive and analytical Compliance Consultant to support the global compliance team within a leading investment advisory firm. This position pays up to $60/hr and focuses on enhancing the broker-dealer compliance program through monitoring, testing, technology implementation, and regulatory alignment. The successful candidate will thrive in a fast-paced environment, managing competing priorities with a strong sense of integrity and professionalism.

Key Responsibilities:

• Support the development, implementation, and enhancement of the broker-dealer compliance program across global teams
• Design and implement workflows using compliance vendor technologies to streamline regulatory pre-approval processes
• Lead and manage compliance-related projects, including technology solutions, by coordinating timelines, resources, and stakeholder communication
• Conduct surveillance and testing procedures to ensure adherence to internal compliance policies and external regulatory requirements
• Collaborate cross-functionally with Legal, Sales, Client-Facing teams, and Administrative Services to identify and optimize compliance procedures
• Stay current on regulatory developments and contribute to policy updates as needed
• Demonstrate initiative and adaptability in learning and applying new technologies and processes

Required Experience:

• Minimum of 2 years of regulatory compliance or closely related experience within an investment management or financial services firm
• Demonstrated familiarity with compliance functions under U.S. financial regulations, including the Investment Advisers Act and FINRA rules
• Experience with compliance technology platforms or vendor systems
• Undergraduate degree from an accredited institution

Nice-to-Have Experience:

• Exposure to investment strategies across fixed income, alternatives, commodities, derivatives, and equities
• Familiarity with investment vehicles such as mutual funds, ETFs, separate accounts, and private funds

Preferred Skills:

• Project management skills including timeline tracking, stakeholder coordination, and resource planning
• Proficiency in Microsoft Office (Word, Excel) and a willingness to learn new software tools

There are no costs for candidates utilizing our services as our clients pay for all related hiring fees. All ProPivotal job postings are either actual positions we had available at the time of posting and/or are representative of positions we typically fill or expect to fill. If you see a job that interests you, respond to the ad or give us a call so that we can help you find a job you'll love. As one of the area's largest staffing firms, we help 2,500 people find jobs a year so chances are good that we can help you too.

ProPivotal is an equal opportunity employer and considers qualified applicants for employment regardless of race, gender, gender identity, gender expression, age, color, religion, disability, veteran's status, sexual orientation, or any other protected factor.

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