Compliance Consultant

Solid Regulatory Risk Management Services, Inc.

Location: Remote

Job Description:

Solid is looking for an experienced, part-time Investment Adviser and Broker/Dealer Compliance Consultant. The Compliance Consultant will, among other duties, draft ADV Part 1, Part 2A, B, and Form CRS disclosures. Draft policies and procedures in a firm's IA Compliance Manual, B/D WSP, AML Manual, and/or Code of Ethics to a risk matrix.

The Consultant will also aid in creating and presenting education modules and writing newsletters and/or summaries regarding the regulatory environment. The Compliance Consultant will be available to assist with "ad hoc" projects and discuss the regulatory environment pertaining to client needs as a "team approach" with other consultants

Requirements:

This is a fully remote, part-time position, that is not entry level. Individuals applying should have a strong knowledge or SEC and/or FINRA regulations as well as State requirements. Must have experience drafting SEC disclosures and reviewing compliance manuals, creating or working risk matrices, as well as making filings on behalf of clients. Excellent written communication skills are required.

A Bachelors in finance or law or Masters in Compliance law or JD is preferred. Relevant work experience equal to 10 plus years experience in financial compliance services will also be considered for those not meeting educational requirements.

No travel is required for this position.

Please provide a writing sample with your resume for consideration.