Job Description
Note: The job is a remote job and is open to candidates in USA. Alternative Regulatory Solutions is a national financial services consulting firm, and they are seeking a Senior Compliance Consultant with experience in RIA and Municipal Advisor regulatory frameworks. This role involves shaping and enhancing compliance infrastructure, delivering high-quality compliance services, and serving as a trusted advisor to clients. Responsibilities • Serve as primary or senior compliance advisor for a portfolio of RIA clients • Collaborate with senior team members, while gathering and managing data from multiple internal and external sources in support of client business operations and compliance deliverables • Design, implement, and maintain client compliance programs in accordance with the Investment Advisers Act of 1940 • Build and maintain advanced knowledge of appropriate regulatory agency policies and procedures • Analyze existing and proposed legislation, regulatory announcements, and industry practices, to develop and implement policies and procedures and/or controls to meet these requirements • Oversight of the Form ADV, including amendments and annual affirmations • Monitor employee electronic communications • Use compliance systems and tools to conduct compliance surveillance, generate reports, and maintain accurate records • Draft memos, conduct audits, participate in annual reviews, and support ad-hoc compliance projects • Maintain and monitor the Client’s compliance calendar and regulatory books and records • Assist in the deployment and review of quarterly and annual RIA, BD and RIC certifications • Monitor client compliance with policies and procedures by conducting risk assessments and performing transactional as well as forensic testing • Conduct initial and annual training for RIA professional Skills • 5+ years of prior financial services (BD, RIA, or RIC) compliance experience required • Demonstrated ability to design, implement, and manage compliance programs • Strong knowledge and understanding of the Investment Advisers Act 1940, Investment Company Act of 1940, FINRA, ERISA, Dodd-Frank and other relevant regulations and laws that pertain to investors • Experience serving as a primary point of contact for regulatory examinations • Proficiency in the Microsoft Office Suite including Excel, Word, PowerPoint, and Outlook • Highly organized, adaptable, and motivated while bringing a positive attitude to solve difficult problems • Comfortable working in a small, entrepreneurial firm setting • Bachelor's Degree (preferred in Business, Economics, Statistics, Accounting) • Experience in dealing with cybersecurity programs and vendor management a plus • MSRB Rules are a plus Company Overview • Alternative Regulatory Solutions, LLC (ARS) is a compliance consulting firm providing expert regulatory services to Municipal Advisors, Broker-Dealers, Bank Dealers, and RIA's. It was founded in 2009, and is headquartered in Roseland, NJ, US, with a workforce of 2-10 employees. Its website is Apply tot his job