Consultant

Job description

The Opportunity: The individual in this position is responsible for participating in wealth management compliance program reviews, assisting with policy and procedure reviews, drafting reports and manuals that promote compliance with regulatory requirements, and providing general compliance assistance and advice to clients including those that advise individual and institutional clients. The individual in this position is also responsible for the development of client relationships and identifying opportunities for new business development. What you’ll do: - Lead or assist in all aspects of mock regulatory examinations and compliance program reviews (e.g., reviewing documents, conducting interviews, and drafting reports) - Perform a broad scope of work during reviews of clients of basic complexity, and to coordinate and consolidate the work of colleagues during these reviews - Provide regulatory consulting services to clients as needed (e.g., creating drafts of and submitting regulatory filings, conducting forensic testing, reviewing policies, procedures, and marketing materials and other compliance documents, and answering compliance-related questions from clients) - Support or ma...