Compliance Consultant

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Orion Placement

WebsiteLinkedInAll Job Openings

1 - 10 employees

Founded 2022

🎯 Recruiter

🤝 B2B

Recruitment • B2B

Orion Placement is a U. S. -based recruitment and staffing firm that connects professionals and support staff with employers across a wide range of industries. The company places executives, managers, administrative assistants, technical specialists, and other roles, offering tailored recruitment strategies, proactive talent sourcing, and end-to-end hiring support for clients nationwide.

📋 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

🎯 Requirements

• 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.

🏖️ Benefits

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