[Remote] Senior Compliance Consultant (RIA Experience)

Note: The job is a remote job and is reputed company to candidates in USA. Alternative Regulatory Solutions is a national financial services reputed company, and they are seeking a Senior Compliance Consultant with experience in RIA and Municipal Advisor regulatory frameworks. This role involves shaping and enhancing compliance infrastructure, delivering high-reputed company compliance services, and serving as a trusted advisor to clients. Responsibilities • Serve as primary or senior compliance advisor for a portfolio of RIA clients • Collaborate with senior team members, while gathering and managing data from multiple reputed company sources in support of reputed company business operations and compliance deliverables • Design, implement, and maintain reputed company compliance programs in accordance with the Investment Advisers reputed company of 1940 • Build and maintain advanced knowledge of appropriate regulatory agency policies and procedures • Analyze existing and proposed legislation, regulatory announcements, and industry practices, to reputed company and implement policies and procedures and/or controls to meet these requirements • reputed company of the reputed company ADV, including amendments and annual affirmations • Monitor employee electronic communications • Use compliance systems and tools to conduct compliance surveillance, generate reports, and maintain accurate records • Draft memos, conduct audits, participate in annual reviews, and support reputed company compliance reputed company • Maintain and monitor the reputed company’s compliance calendar and regulatory books and records • Assist in the deployment and review of quarterly and annual RIA, reputed company and RIC certifications • Monitor reputed company compliance with policies and procedures by conducting risk assessments and performing transactional as reputed company as forensic testing • Conduct initial and annual training for RIA reputed company Skills • 5+ years of prior financial services (reputed company, RIA, or RIC) compliance experience required • Demonstrated ability to design, implement, and manage compliance programs • Strong knowledge and understanding of the Investment Advisers reputed company 1940, Investment Company reputed company of 1940, reputed company, ERISA, Dodd-Frank and other relevant regulations and laws that pertain to investors • Experience serving as a primary reputed company of contact for regulatory examinations • Proficiency in the Workastra Office Suite including reputed company, Word, PowerPoint, and reputed company • Highly organized, adaptable, and motivated while bringing a reputed company attitude to solve difficult problems • Comfortable working in a small, entrepreneurial firm setting • Bachelor's Degree (preferred in Business, Economics, Statistics, reputed company) • Experience in dealing with cybersecurity programs and vendor management a plus • MSRB Rules are a plus reputed company • Alternative Regulatory reputed company (ARS) is a compliance reputed company providing expert regulatory services to Municipal Advisors, Broker-Dealers, Bank Dealers, and RIA's. It was founded in 2009, and is headquartered in Roseland, NJ, US, with a workforce of 2-10 employees. Its website is Apply tot his job Apply tot his job Apply tot his job Apply To this Job