Vice President, Compliance Consulting

Responsibilities: Serve as day-to-day strategic adviser to clients and coordinate cross-functional teams to deliver timely, high-quality work Act as compliance consultant or Outsourced Chief Compliance Officer for RIAs, broker-dealers, or RICs, overseeing programs, ethics, conflicts and regulatory filings (Forms ADV, PF, BD, U4, U5) Design, implement, and enhance tailored compliance programs (policies, testing, monitoring, surveillance) under Advisers Act Rule 206(4)-7, FINRA Rules 3120/3130, and Rule 38a-1 Advise on Advisers Act requirements, including registrations and examinations, and remediation Support SEC and FINRA regulatory submissions and new membership processes Assist clients with examinations, inquiries, mock exams, and remediation efforts Review marketing materials for SEC/FINRA compliance Monitor regulatory developments and translate them into actionable guidance Cultivate and expand client relationships and contribute to practice growth Mentor junior professionals and foster a collaborative, high-performing culture

Key requirements: 5+ years of compliance experience with RIAs, broker-dealers, or registered investment companies (10+ years preferred for leadership) Strong working knowledge of Advisers Act and FINRA rules Hands-on experience designing and managing compliance programs and regulatory filings (Forms ADV, BD, U4, U5) Experience with SEC examinations, FINRA oversight, and remediation Proven ability to build trusted client relationships and originate or expand business Excellent communication, project management, and leadership skills Bachelor’s degree; JD or MBA is a plus Relevant certifications or licenses such as CAMS or FINRA registrations are a plus communication problem solving team leadership Advisers Act knowledge FINRA rules and regulations Regulatory filings (Forms ADV, U4, U5, BD)