Compliance Consultant
Core
Co-lead the firm's Code of Ethics program and support corporate compliance initiatives by monitoring risks, investigating violations, and enhancing controls.
Role type
Compliance Consultant (Financial Services)
Builds
Corporate Compliance Program and Code of Ethics adherence
Domain
Financial Services / Asset Management / Regulatory Compliance
Deliverable
dashboards & analysis
Required skills
Securities regulatory knowledge, risk assessment, investigative skills, compliance technology proficiency, process improvement, stakeholder collaboration
Preferred skills
StarCompliance experience
Responsibilities
Monitor employee personal trading activity and investigate potential violations; Develop and deliver compliance training programs; Monitor gifts, entertainment, and business expense activity; Identify emerging regulatory requirements and design controls; Prepare reporting for the Code of Ethics Committee and Fund Boards; Leverage technology to improve compliance processes.
Seniority
Mid-level, hands-on IC