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.
The Senior Compliance Consultant will serve as a pivotal member of our compliance consulting services. The Senior Compliance Consultant will be responsible for managing compliance programs for a variety of SEC registered investment advisers. Additionally, the Senior Compliance Consultant will also be responsible for:
- Serving as the named outsourced chief compliance officer;
- Drafting policies and procedures for clients’ compliance manuals;
- Conducting annual 206(4)-7 reviews, risk assessments, and mock SEC examinations;
- Reviewing advertising and marketing materials;
- Preparing and submitting regulatory filings, including Forms ADV, Form U4, Section 13 and other filings;
- Leading clients through all phases of regulatory examinations;
- Conducting annual compliance trainings;
- Mentoring and developing junior team members; and
- Assisting with additional ad hoc projects and tasks
- Minimum of 10 years of financial services or compliance experience;
- Bachelor’s Degree or higher;
- Strong knowledge of SEC rules and regulations required;
- Prior regulatory examination experience preferred;
- Experience with compliance technology software;
- Excellent written and verbal communication skills; and
- Ability to travel 10% of the time
- Competitive salary commensurate with experience
- Paid time off
- Company sponsored 401K with employer match
- Fully remote position
To apply, please email your resume to firstname.lastname@example.org.