Vice President, Compliance Consulting
Core
Strategic compliance consultant advising financial services firms (RIAs, broker-dealers, RICs) on regulatory requirements and program design.
Role type
Senior IC compliance consultant / VP
Builds
Tailored compliance programs, regulatory filings, and client remediation strategies
Domain
Financial Services / Regulatory Compliance
Required skills
Advisers Act expertise, FINRA rules knowledge, compliance program design, regulatory filing preparation, SEC/FINRA inquiry management, client relationship cultivation, team mentorship
Preferred skills
CAMS certification, FINRA registration, JD or MBA, commodity trading adviser experience, Investment Company Act expertise
Technologies
Forms ADV, Forms BD, Forms U4, Forms U5, Advisers Act Rule 206(4)-7, FINRA Rules 3120, FINRA Rules 3130, Investment Company Act Rule 38a-1
Responsibilities
Serve as strategic adviser to clients on regulatory guidance; oversee compliance programs and regulatory filings; design and enhance tailored compliance programs; advise on new registrations and remediation; support FINRA membership applications; review marketing materials for compliance; monitor regulatory developments; cultivate client relationships; mentor junior professionals
Seniority
Senior, hands-on IC with leadership responsibilities