California Licensed Compliance Consultant

Job Summary

A company is looking for a Compliance Consultant to support compliance initiatives for a global investment management firm.

Key Responsibilities:

• Support the development and execution of broker-dealer compliance programs
• Implement and manage compliance technology workflows to streamline pre-approval processes
• Conduct surveillance and testing of internal policies and procedures

Qualifications:

• Minimum 2 years of experience in regulatory compliance within investment management or a related field
• Strong understanding of U.S. regulatory requirements, including the Investment Advisers Act and FINRA rules
• Proficiency with compliance technology platforms and Microsoft Office Suite
• Bachelor's degree required