SEC Compliance Consultants, Inc. (SEC3) helps organizations bridge the SEC compliance knowledge gap. SEC3 is a regulatory compliance consulting firm serving investment advisers, private funds, investment companies and CPOs and CTAs since 2003. SEC3 specializes in SEC, FINRA, CFTC, NFA and other securities regulations.
Our team has over 100 years of combined experience in investment management regulation and compliance. Our professionals have served as SEC regulators, chief compliance officers, experienced securities attorneys and senior management of investment advisers, broker-dealers and fund administrators.
Job Description:
The Compliance Consultant will serve as a pivotal member of our compliance consulting services. The Compliance Consultant will be responsible for assisting in the management of compliance programs for a variety of SEC registered investment advisers. Additionally, the Compliance Consultant will also be responsible for:
- Providing day-to-day support in the management of compliance programs for a variety of registered investment advisers;
- Drafting policies and procedures for clients’ compliance manuals;
- Assisting senior team members and in-house CCOs with annual 206(4)-7 review testing;
- Monitoring and reviewing personal trading activity;
- Conducting electronic communications review;
- Reviewing advertising and marketing materials;
- Preparing and submitting regulatory filings, including Forms ADV, Form U4, Section 13 and other filings;
- Conducting annual compliance trainings;
- Providing regulatory exam support; and
- Assisting with additional ad hoc projects and tasks
Requirements:
- 5 years of financial services or compliance experience;
- Bachelor’s Degree or higher;
- Knowledge of SEC rules and regulations preferred;
- Prior regulatory examination experience is a plus;
- Experience with compliance technology software is a plus;
- Excellent written and verbal communication skills;
- Entrepreneurial spirit and the ability to multi-task across a wide range of projects;
- Ability to travel 10% of the time
Benefits:
- Competitive salary commensurate with experience
- Paid time off
- Company sponsored 401K with employer match
- Fully remote position
To apply, please email your resume to hr@seccc.com.
For over two decades, we have been providing compliance consulting services and servicing as outsourced Chief Compliance Officers. Our professionals have served as SEC regulators and in senior leadership, guiding the industry’s principal compliance association. Our consultants also have hands-on industry experience as chief compliance officers, experienced securities attorneys and senior management of investment advisers, broker-dealers and fund administrators.
What can SEC3 do for you?
SEC3 offers an extensive suite of customizable compliance services for investment advisers, private fund advisers, CPOs, CTAs, investment companies, institutional investors and broker-dealers which can complement your internal compliance program on a one-time or recurring basis depending on your needs.
Call us today at (212) 706-4029 x 229, or shoot us an email at info@SEC3compliance.com so we can set up a time for one of our consultants to discuss your needs and how we can help.
