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FIN Compliance · 3 weeks ago

Fractional Consultants/Operators

United States

Full-time

Remote

Senior Level

5+ years exp

FIN Compliance is inviting Fractional Consultants and C-Level Executives to join their network as operating partners, offering opportunities for revenue-sharing and referral-based collaborations. The role involves working with financial advisory firms to develop growth strategies, ensure compliance, and optimize operational processes.

ComplianceConsultingTraining

Responsibilities

Work with us to develop and execute growth strategies, including client acquisition, business scaling, and market positioning

Provide insights into emerging trends in wealth management and financial advisory services to drive innovation and competitiveness

Conduct market analysis and help firms identify new revenue opportunities or niches within their existing client base

Ensure firms adhere to all regulatory requirements (SEC, FINRA, etc.) and help them navigate complex compliance landscapes

Develop or enhance compliance programs, including policies for anti-money laundering (AML), know your customer (KYC), and fiduciary duties

Assess and improve the firm’s internal processes, including client onboarding, portfolio management, compliance, and reporting workflows

Guide firms on implementing best practices in areas such as technology adoption (CRM systems, portfolio management tools, etc.), regulatory compliance, and risk management

Evaluate operational efficiency and propose changes to reduce costs, improve productivity, and enhance client service

Help design and optimize client service models to deliver superior client experiences, including client segmentation, communication protocols, and service offerings

Work with investment firms to develop and refine their client engagement strategies, with a focus on increasing retention and generating referrals

Assist private funds in setting financial goals, budgeting, and forecasting

Provide advice on improving profitability, expense management, and revenue growth

Establish key performance indicators (KPIs) to measure success and accountability within the firm

Qualification

Financial Advisory ExpertiseBusiness DevelopmentCompliance KnowledgeOperational LeadershipAnalytical SkillsStrategic PlanningTechnology ProficiencyLeadership SkillsCommunication SkillsOrganizational Skills

Required

Applicants must operate as a business entity with at least one of the following in place: A registered business name, Defined professional services, A valid business filing (e.g., Sole Proprietorship, LLC, S-Corp, or LLP)

Minimum of 5 years of experience in the financial advisory, sales, technology, or wealth management industry, with at least 2 years in a senior/executive or consulting role

Proven track record of driving business growth and operational improvements within financial advisory firms

Experience working with both independent advisory firms (RIAs), private funds, private equity, real estate and broker-dealers is a plus

Bachelor's degree in finance, business administration, or related field (MBA or other advanced degrees are highly preferred)

Strong strategic planning and business development expertise

Deep understanding of the financial advisory landscape, including investment strategies, compliance, and client service best practices

Excellent leadership and team development skills, with the ability to mentor and influence senior leaders

Strong analytical skills and financial acumen, with experience in budget management and profitability enhancement

Proficiency in relevant technology platforms (e.g., CRM systems, portfolio management software, and financial planning tools)

Strong communication and presentation skills, with the ability to convey complex concepts in a clear and concise manner

Ability to work independently while maintaining collaborative relationships with clients

Highly organized with a strong attention to detail and the ability to manage multiple projects simultaneously

Benefits

Flexible Engagement: This is a fractional role, providing flexibility and the ability to manage your own schedule while working with multiple financial advisory firms.

Impact: Play a pivotal role in shaping the success of small to mid-sized financial advisory firms by providing executive-level insights and strategies.

Variety: Work with a diverse range of clients, bringing fresh challenges and opportunities with each engagement.