Alternative Regulatory Solutions, LLC · 23 hours ago
Senior Compliance Consultant (RIA Experience)
United States
Full-time
Remote
Senior Level
5+ years expAlternative 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.
Financial Services
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
Qualification
Required
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
Preferred
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
Alternative Regulatory Solutions, LLC
Alternative Regulatory Solutions, LLC (ARS) is a compliance consulting firm providing expert regulatory services to Municipal Advisors, Broker-Dealers, Bank Dealers, and RIA's.
2-10 employees
Funding
Current Stage
Early StageCompany data provided by crunchbase