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| Regulatory and Compliance Consultants | |
| About the Job | |
| RRS is frequently seeking qualified candidates to support its regulatory compliance consulting and support services for broker-dealers, SEC and State registered investment advisers, hedge funds and other financial institutions. The successful candidate will be a self starter with broad regulatory compliance experience, preferably with a Federal, State or Self-Regulatory organization. |
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| Responsibilities | |
| The Regulatory Consultant will be responsible for conducting regulatory examinations of financial institutions including broker-dealers, SEC and State registered investment advisers, hedge funds and other financial institutions. This position requires frequent short term travel to conduct consulting engagements at the client site and through remote document inspection. The Regulatory Consultant is responsible for participating in the development and implementation of the Company’s Regulatory Services programs. This includes creation of examination programs and content of deliverables. The Regulatory Consultant will be responsible for attending periodic industry meetings and events, including speaking engagements, in conjunction with RRS Business Development staff for the purposes of assisting in business development functions for RRS, and will be responsible for client relationship management for existing clients to which they are assigned. Regulatory Consultants are responsible for other matters assigned from time to time by senior management to support the operations of the company. The Regulatory Consultant is responsible for ensuring that they maintain the highest ethical standards of conduct as recognized by the securities industry at all times while they are representing the company whether in the office, at client locations or industry events. Regulatory Consultants will ensure that all client and company information is treated as confidential information in accordance with the confidentiality clause in the Company’s employee handbook, and will not disclose Client or Company information to any third party, or to any other employee that does not have a need to know the information. |
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| Minimum Qualifications | |
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A four year College degree from an accredited University, preferably with a major in business including finance, accounting, business management or economics. |
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Three years or more experience directly relating to conducting examinations or audits of broker- dealers and/or registered investment advisors with the SEC, FINRA, NYSE, or State Regulatory Body. |
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Three to five years regulatory compliance experience with a major US or large regional full service broker-dealer, registered investment adviser or investment company conducting compliance examinations. (May be considered in lieu of regulatory experience.) |
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Familiarity with SEC and SRO Capital requirements, supervisory practices of broker-dealers and investment advisers, regulatory compliance and internal controls. |
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Professional self starter with strong interpersonal, written and verbal communication and presentation skills. |
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Clean regulatory history. Candidates will be fingerprinted and subjected to extensive background check including criminal and credit checks. |
| Compensation & Benefits |
| Compensation, which will be competitive and commensurate with industry experience, would include a base salary plus incentive based commissions. RRS also offers an excellent benefits package. |
| We invite qualified individuals to submit their resume and compensation history in confidence. RRS is an Equal Opportunity Employer. All qualified applicants will receive consideration for employment without regard to their race, religion, ancestry, national origin, sex, sexual orientation, age, disability, marital status, domestic partner status, or medical condition. |
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