Compliance Associate - / Regulatory Consultant
MGL Consulting, LLC
Location: The Woodlands (Houston), Texas
Originally founded in 1984, MGL Consulting, LLC is a full-service consulting firm serving broker/dealers, investment advisors, and commodities firms. Our firm is hiring a compliance associate / regulatory consultant to work as part of our team of experienced, collaborative, client focused professionals. The compliance associate will work with MGL team members and its clients by assisting, auditing and or development of regulatory compliance programs, as well as providing litigation support and registration assistance.
Duties and Responsibilities will include:
Data entry, file maintenance and reporting utilizing MGL's compliance management tools and systems;
Assisting senior staff in the preparation of Form ADVs, Form U4s, state notice filings, compliance manuals and review of marketing materials and similar documents on behalf of MGL's RIA clients;
Implement and or complete projects as assigned by MGL senior staff;
Working knowledge of compliance policies and procedures, the Investment Advisors Act of 1940, the Securities Exchange Act of 1934 and FINRA Conduct Rules.
A willingness to learn best practices and regulations governing our client's activities as broker/dealers, investment advisors and or as members of the NFA.
Effectively communicate regulatory and or procedural changes and or important regulatory actions to MGL employees and or our clients.
Assist MGL and its clients to monitor day to day compliance related tasks, policies and procedures to ensure deadlines are met.
Assist MGL with compliance program reviews and audits including annual reviews, AML reviews, Form ADV and compliance manual reviews.
Assist with new compliance initiatives and special projects or ad hoc duties as assigned by MGL senior staff.
Some out of town travel is required.
Qualifications
Ability to work in a team-oriented environment.
Proficiency in Microsoft Office suite with expertise in Microsoft Word, PowerPoint and Excel. Experience with Salesforce a plus.
Strong organizational skills, as well as strong attention to detail and accuracy.
Ability to multi-task and work well under pressure.
Comfortable working in a fast-paced office environment with varying deadlines.
Exceptional written and verbal communication skills.
Strong interest in compliance and risk management functions.
1-3 years of experience in financial services regulated environment and or legal field.
To apply, please email: HR@mglconsulting.com.