Compliance Advisers’ Blue Ocean Strategy in Regulatory Compliance Consulting
Independent Compliance Consultants
Become a part of our new Strategiance™ initiative and experience the independence of running your own securities compliance consulting firm with access to the support, resources and expertise of a highly successful brand – Compliance Advisers, Inc.
Currently, we are growing and are looking for compliance consultants with securities industry experience who are looking to build their own successful compliance consulting practice. We offer expert guidance, support and the necessary tools designed to help independent contractor consultants achieve success and a rewarding career. As a partner consultant, you will have the opportunity to work independently for high-payout, commission-based compensation using our successful Compliance Advisers brand and proven platform.
Basic Function: As a Compliance Advisers’ Independent Compliance Consultant, you will build a practice and be responsible for cultivating and managing client company relationships with Broker/dealers, Investment Advisors and Funds by providing expert advice, guidance and compliance solutions to promote the design and execution of highly effective customized compliance programs.
Job Type: Full-time, Independent Contractor
Location: Various U. S. Cities
- Develop new and manage existing client relationships to ensure satisfaction with services;
- Serve as lead relationship manager and primary client liaison with broker/dealer, advisor and fund clients;
- Offer preliminary consultation to identify specific client needs and determine CAI’s ability to meet those needs;
- Work directly with compliance clients to develop practical compliance programs that are designed to achieve maximum compliance with SEC, FINRA and/or state regulatory requirements;
- Research SEC, FINRA and/or state rules and regulations and communicating guidance to clients;
- Correspond regularly with regulators to enhance understanding of, conduct research, interpret and apply new and existing regulatory rules;
- Conduct regular (scheduled and ad hoc) conference calls, online and in-person meetings with Chief Compliance Officers to deliver guidance and advice with respect to regulatory best practices, questions, regulatory inquiries, exams and investigations, etc.;
- Maintain client workflow records (calendars, project workflows and status updates), accounting records and time reporting;
- Produce and deliver externally-focused, company approved, compliance content (e.g. webinars, research notes, white papers); and
- Stay abreast of new regulation by attending online webinars, training sessions, conferences and meetings and/or reading regular company updates
- Minimum three (3) to six (6) years of Broker/Dealer, Investment Adviser and/or Fund Compliance Experience (consulting or in-house);
- Bachelor’s, Master’s or J.D., preferably in securities law, business, accounting, risk management or related field
- Series 7, 63, 24, 27, 28, 65 and/or 79 registrations preferred
- Advanced knowledge of the Securities Act of 1940, the Exchange Act, the Investment Advisers Act of 1940, the Investment Company Act, Dodd-Frank and state laws;
- Executive presence – a mature professional who interacts effortlessly with regulators, attorneys, CPA, CEOs, Board Members and other high profile clients;
- Willingness to register as a principal with client companies as needed;
- Excellent oral and written communication skills;
- Detail-oriented and multi-task capability;
- Ability to travel – while company-generated leads are assigned based on geographic proximity closest to a client’s location, this role may service clients across the United States, and, therefore, may require limited travel to a acquire and maintain client relationships;
- Independent Self-Starter – the ability to organize workload and meet deadlines;
- Service Oriented – proven ability to provide superior customer service;
- Understanding of web-based technology applications and willingness to learn new enhancements and new solutions;
- Ability to work both independently and as part of a team;
- Customer-focused attitude;
- Time management and organization skills with a strong attention to detail;
- Strong written communication and oral communication skill
- Compliance Advisers national brand recognition
- Access to resources, library, forms, client data, regulatory updates, etc., on Compliance Advisers’ proprietary robust independent compliance consultant platform
- Legal, accounting and marketing support
- High commission payouts based on gross revenue production
- Bonus and stock option programs
- National advertising and lead generation programs
- Professional liability insurance
- Industry memberships and subscriptions
- Training Program
To learn more about our Strategiance™ Initiative and/or apply for any of our positions, please send your resume and cover letter to:
Careers at Compliance Advisers –
Compliance Advisers, Inc.
4600 S. Ulster Street, Suite 560
Denver, CO 80237
Or, you may fax your resume and cover letter to (303) 389-9367.
Thank you for your interest in a career with us.