Partnership Compliance Consultant (Fully Remote)

Confidential; United States; Remote; USD 120,000 - 180,000; Full time

Job summary

Confidential is seeking a senior-level compliance professional to conduct reviews, mock SEC/FINRA examinations, and branch office assessments for investment advisers and broker-dealers.

You will manage client engagements from planning and testing through reporting and remediation, translating complex regulatory requirements into risk-rated findings, and mentoring junior consultants while guiding clients in using compliance technology solutions.

Responsibilities

• Conduct compliance reviews, mock SEC/FINRA examinations, and branch office assessments for investment advisers and broker-dealers.
• Manage client engagements from planning and testing through reporting and remediation, translating complex regulatory requirements into risk-rated findings.
• Mentor junior consultants, contribute to industry education, and guide clients in using compliance technology solutions.

Job description

• Conduct compliance reviews, mock SEC/FINRA examinations, and branch office assessments for investment advisers and broker-dealers.
• Manage client engagements from planning and testing through reporting and remediation, translating complex regulatory requirements into risk-rated findings.
• Mentor junior consultants, contribute to industry education, and guide clients in using compliance technology solutions.