Compliance Consultant

🕒 il y a 9 jours

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Orion Placement

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1 - 10 employés

Fondée en 2022

🎯 Recrutement

🤝 B2B

Recruitment • B2B

Orion Placement est une société de recrutement et de dotation en personnel basée aux États-Unis qui met en relation des professionnels et du personnel de soutien avec des employeurs dans une large gamme de secteurs. L'entreprise recrute des cadres, des managers, des assistants administratifs, des spécialistes techniques et d'autres rôles, offrant des stratégies de recrutement sur mesure, une recherche proactive de talents et un soutien complet à l'embauche pour les clients à l'échelle nationale.

Description

• Own and manage full compliance programs for a portfolio of RIA clients as their outsourced Chief Compliance Officer • Lead client engagements from strategy through execution, serving as the primary compliance advisor and trusted point of contact for executives and boards • Mentor and coach junior consultants, reviewing their work and actively supporting their professional development • Represent the firm in high-stakes meetings with C-suite leaders, boards, and regulators • Design and continuously enhance tailored compliance programs aligned to SEC and state regulatory requirements • Draft, update, and maintain compliance policies, procedures, manuals, and training materials that are clear, practical, and audit-ready • Conduct compliance risk assessments, mock examinations, and annual reviews — including SEC Rule 206(4)-7 reviews • Monitor SEC, FINRA, and state regulatory developments and proactively communicate their impact to clients • Prepare and oversee regulatory filings including Forms ADV, U4, and other required documentation • Guide clients through regulatory examinations and any remediation efforts • Advise on both day-to-day compliance questions and long-term strategic regulatory matters • Leverage AI-enabled consulting workflows to deliver scalable, tech-forward compliance solutions

🎯 Exigences

• 3+ years of compliance experience in financial services with direct RIA compliance experience • Experience serving as or directly supporting a Chief Compliance Officer at a Registered Investment Adviser • Strong command of the Investment Advisers Act of 1940, Form ADV, the Marketing Rule, and Code of Ethics requirements • Proven track record designing and managing compliance programs end to end • Skilled at drafting compliance policies, procedures, and manuals • Experience leading client relationships and managing complex engagements • Ability to mentor and develop junior team members • Familiarity with fintech business models and the regulatory landscape for emerging financial services • Exceptional communication and presentation skills, including presenting to executives and regulators • Bachelor's degree in Law, Finance, Business, or a related field; JD or relevant certifications a plus • Self-starter who thrives independently in a fast-paced, fully remote consulting environment

🏖️ Avantages

• Dental insurance • Paid time off • Retirement plan • Vision insurance