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Investment Adviser Compliance Consultant

  • Location: New York, NY
  • Job Type: Contract
  • Ref No: 19-03611
  • Date: June 06, 2019
  • Job title:



Jaime Conil

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Job Description - Investment Adviser Compliance Consultant

A management consulting firm is seeking a compliance SME with experience in the investment adviser and asset management space. The firm's end client is a retail investment adviser that is preparing for an official SEC examination and wants to conduct a preemptive examination and audit. The client needs a consultant with extensive and substantial SEC compliance experience as it pertains to RIA, retail investments and securities. The consultant has to have a comprehensive, general but indepth knowledge of what the SEC focuses on during official examinations and what a strong retail investment adviser compliance program looks like. Preferably, the consultant will have experience working at the SEC. Candidates should have 5+ years of experience in investment adviser compliance, audit/examinations experience, and the ability to work the project beginning to end in the month of July. 


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