2 Compliance Consultant Jobs in White Plains, NY
The Tandym Group is Hiring a Compliance Consultant Near White Plains, NY
Responsibilities
The Compliance Consultant will be responsible for:
- Preparing policies and procedures, reports, memoranda, and other client deliverables
- Supporting senior consultants with client engagements, including tracking and
- monitoring, ongoing obligations and preparing for meetings and reviews
- Assisting with annual compliance reviews, mock audits, and SEC examinations
- Conducting compliance testing, including electronic communications reviews
- Assisting in the preparation of regulatory filings, including Form ADV, Form PF, Form 13H and Form 13F
- Reviewing marketing materials
- Onboarding and monitoring compliance software platforms for clients
- Participating in client meetings and reviews
- Conducting compliance training sessions for clients’ employees
- Researching compliance issues
- Bachelor's degree
- 1-5 years of regulatory and compliance experience relating to hedge funds or private equity funds at a private fund manager, law firm, consulting firm, or at the SEC
- Understanding of the Investment Advisers Act
- Prior experience assisting with the development or monitoring of compliance programs
- Strong time management skills
- Demonstrated analytical skills
- Excellent problem-solving skills
- Comfortable working independently
- Prior experience preparing regulatory filings or reviewing marketing materials
Job Summary
Full Time
$95k-120k (estimate)
01/11/2024
07/09/2024
The job skills required for Compliance Consultant include Problem Solving, Financial Services, Compliance Monitoring, Time Management, Consulting, etc. Having related job skills and expertise will give you an advantage when applying to be a Compliance Consultant. That makes you unique and can impact how much salary you can get paid. Below are job openings related to skills required by Compliance Consultant. Select any job title you are interested in and start to search job requirements.
The following is the career advancement route for Compliance Consultant positions, which can be used as a reference in future career path planning. As a Compliance Consultant, it can be promoted into senior positions as a Compliance Specialist IV that are expected to handle more key tasks, people in this role will get a higher salary paid than an ordinary Compliance Consultant. You can explore the career advancement for a Compliance Consultant below and select your interested title to get hiring information.
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