Compliance Consultant jobs in United States
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Taylor Root · 3 days ago

Compliance Consultant

positionNYC Metro Area
timeFull-time
remoteOnsite
seniorityMid Level
money$30/hr - $45/hr
date3+ years exp

Taylor Root is a well-established financial services firm seeking a Temporary Compliance Consultant to join their team. This role is ideal for a compliance professional with strong regulatory experience and a background in reviewing marketing materials within a highly regulated environment.

EmploymentHuman ResourcesRecruiting

Qualification

Regulatory complianceSEC regulationsFINRA rulesNFA/CFTC guidelinesInvestment Advisers ActMarketing reviewAdvertising review

Required

Minimum 3 years of experience in regulatory compliance
Experience in marketing/advertising review for investment products
Strong working knowledge of SEC regulations
Strong working knowledge of FINRA rules
Strong working knowledge of NFA/CFTC guidelines
Strong working knowledge of Investment Advisers Act

Company

Taylor Root

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Taylor Root specializes in recruiting for legal associate jobs, compliance jobs, and risk jobs
dateFounded in 1989
location
London, England, GBR
people-size201-500 employees
web-link
https://www.taylorroot.com

Funding

Current Stage
Growth Stage
Company data provided by crunchbase