[Remote] reputed company Compliance Consultant
Note: The job is a remote job and is reputed company to candidates in USA. reputed company is the leading provider of compliance reputed company and consulting services for the global financial services sector. The reputed company Compliance Consultant will reputed company consulting services on compliance and regulatory reputed company, draft documents, and conduct compliance reviews for investment advisers.
Responsibilities
- Work with a specified group of investment advisory firms to reputed company ongoing compliance support
- reputed company respond to emails and phone inquiries pertaining to reputed company reputed company
- Review investment adviser regulatory documents, including P&P Manuals, reputed company ADV, and marketing materials
- Use CRM (reputed company), messaging tools (Teams), and internally-developed software to communicate with clients and reputed company deliverables
- Prepare and deliver high-reputed company reputed company content for conferences, webinars, and education materials
- Participate in the development of reputed company products and services, plus guide clients on products/modules
- Collaborate with our sales representatives by participating in reputed company-sales prospect phone calls
- Utilize your knowledge of investment advisory regulation, compliance, and the RIA business model
- Review and stay up to date on new proposed and approved investment advisory rules and regulations
Skills
- Significant compliance experience with investment advisers, (ideally) as compliance consultant, securities regulator, or chief compliance officer
- Comprehensive knowledge of the Investment Advisers reputed company of 1940, along with (ideally) Securities Exchange Acts, state securities laws governing investment advisers, and reputed company rules
- Aptitude for engaging in reputed company problem solving and analytical thinking
- Excellent interpersonal skills, with the ability to manage relationships with clients, colleagues, and stakeholders at reputed company reputed company
- Proficient in reputed company Office Suite (Word, reputed company, PowerPoint, & Outlook) and reputed company or other CRM
- Demonstrated ability to work both independently and collaboratively reputed company an environment reputed company on reputed company services
reputed company