Senior Consultant – Compliance (Remote)

InnReg; United States; Remote; USD 57,000 - 132,000; Full time

Job summary

InnReg is seeking a seasoned Senior Consultant to manage compliance programs for clients in a fully remote capacity. The ideal candidate will leverage their 5+ years of experience to lead engagements, develop tailored compliance solutions, and navigate complex regulatory requirements. Join a diverse and high-performing team dedicated to supporting fintech innovators.

Benefits

Competitive salary

Benefits package

Opportunities for professional growth

Support for licensing and certifications

Qualifications

• At least 5 years of relevant experience in compliance consulting.
• FINRA Series 7 and 24 qualifications required.
• Strong understanding of regulatory frameworks.

Responsibilities

• Lead client engagements and design compliance programs.
• Draft and update compliance policies and procedures.
• Conduct compliance risk assessments and audits.

Skills

Leadership

Analytical skills

Communication

Interpersonal skills

Education

Bachelor’s degree in Finance or Business

Advanced degree or relevant certifications (e.g., CRCM, CAMS)

Job description

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Position Overview

We are seeking a seasoned compliance professional with at least 5 years of relevant experience to join our consulting firm. This fully remote role centers on designing, implementing, and managing robust compliance programs for clients regulated at the federal and state levels, including Broker Dealers, Registered Investment Advisers (RIAs), and more.

Key Responsibilities

• Lead client engagements as the primary point of contact and advisor for compliance matters.
• Design, implement, and enhance compliance programs tailored to client needs and regulatory requirements.
• Draft, review, and update compliance policies, procedures, manuals, and training materials.
• Conduct compliance risk assessments, mock audits, and annual reviews (e.g., SEC 206(4)-7 reviews).
• Monitor and interpret regulatory updates (federal and state), analyze their impact, and communicate implications to clients.
• Prepare and submit regulatory filings, such as Forms BD, ADV U4, and other required documentation.
• Advise clients on day-to-day compliance issues, responding to regulatory inquiries and providing strategic guidance.
• Collaborate cross-functionally with other consultants to deliver holistic client solutions.
• Provide compliance officer support to clients as needed.
• Support clients through regulatory examinations and remediation efforts.
• Stay current on compliance best practices, including customer due diligence, transaction monitoring, and suspicious activity reporting.
• Assist clients in developing and maintaining risk-based compliance frameworks, including policies for onboarding high-risk customers, ongoing monitoring, and reporting suspicious transactions.

Qualifications

• FINRA Series 7 and 24 qualifications.
• Bachelor’s degree Finance, Business, or focused on pre-law studies; advanced degree or relevant certifications (e.g., CRCM, CAMS) preferred.
• Deep understanding of federal and state regulatory frameworks relevant to Broker Dealers, andRIAs,.
• Proven experience drafting compliance policies, procedures, and manuals.
• Strong analytical skills with the ability to interpret complex regulations and assess their impact on client businesses.
• Excellent communication and interpersonal skills, with experience leading client meetings and delivering training.
• Demonstrated ability to manage multiple projects and priorities in a remote, fast-paced environment.
• Self-starter with strong organizational skills and attention to detail.
• Why Join Us?
• Work remotely with a collaborative, high-performing team.
• Engage with a diverse client base and complex regulatory challenges.
• Competitive salary, benefits, and opportunities for professional growth.
• Comprehensive support for required licensing and certifications.

About InnReg

At InnReg, we support online broker-dealers, digital lenders, alternative trading systems (ATS), crowdfunding platforms, robo-advisers, cryptocurrency platforms, and other fintechs who may be operating in a regulated environment or considering becoming regulated.

We help our clients resolve a myriad of complex compliance issues in highly regulated industries. We have helped fintech innovators launch and grow their businesses by supporting their compliance function, including providing compliance services and leadership on a fully outsourced basis.

We sift through black, white, and gray areas to identify all the pertinent regulatory issues. Then we conduct product strategy sessions to identify the most viable approach to maneuveringcompliantly around those obstacles while maintaining the integrity of the original product design.

Many clients outsource their entire compliance function to InnReg. For us, that’s the true testament to the quality of our solutions and the trust we engender.

We are an equal opportunity employer and value diversity at all levels of the organization.

Seniority level

• Seniority level

  Mid-Senior level

Employment type

• Employment type

  Full-time

Job function

• Job function

  Consulting, Information Technology, and Sales

• Industries

  Business Consulting and Services

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