Drive impactful compliance initiatives in a dynamic financial services environment. Collaborate with industry professionals to ensure regulatory adherence and innovation. Enhance your expertise in a flexible hybrid work setting.
Regulatory Compliance Consultant
in Accounting + Finance ContractJob Detail
Job Description
Overview
- Serve as a Regulatory Compliance Consultant, ensuring adherence to industry regulations within a dynamic financial services environment.
- Collaborate with cross-functional teams to monitor compliance initiatives and regulatory developments impacting business operations.
- Support compliance testing, monitoring, and reporting processes to uphold industry standards and best practices.
- Contribute to the development and delivery of training programs to meet regulatory obligations effectively.
- Prepare committee materials, reporting metrics, and regulatory filings to ensure compliance.
- Participate in annual self-examinations and oversee regulatory obligations for the organization.
- Work in a hybrid environment, combining remote and on-site responsibilities for optimal flexibility.
Key Responsibilities & Duties
- Review investment product marketing materials to ensure compliance with applicable regulations.
- Conduct compliance testing and monitoring for private funds and registered products.
- Assist in developing and delivering training programs to meet regulatory standards.
- Prepare and facilitate periodic committee materials and reporting metrics for compliance oversight.
- Monitor and analyze regulatory developments, assessing their impact on business activities.
- Oversee regulatory obligations, including filings and annual renewals, ensuring adherence to standards.
- Ensure compliance with privacy mailing confirmations and respond to regulatory inquiries effectively.
Job Requirements
- Bachelor's degree in a related field is required.
- 3-5 years of experience in compliance program oversight within the financial industry.
- Proficiency in SEC, NFA, CIMA, FCA, and Canadian regulations.
- Knowledge of compliance restrictions around registered products and alternative investments.
- Strong analytical skills to monitor regulatory developments and assess their impact.
- Ability to work in a hybrid environment, balancing remote and on-site tasks.
- Motivated to learn and adapt in a dynamic business environment.
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