Regulatory Compliance Consultant - Deerfield Beach, FL

Only for registered members Deerfield Beach, FL, United States

2 days ago

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Job summary:

We are frequently seeking qualified candidates to support our 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 regulatory compliance experience preferably with a Federal State or Self-Regulatory organization.,
,We require short term travel to conduct consulting engagements at the client site and through remote document inspection.,

  • The Regulatory Consultant will be responsible for designing and conducting regulatory examinations of financial institutions including broker-dealers,
  • The Regulatory Consultant is responsible for participating in the development
  • The Regulatory Consultants are also required to attend periodic industry meetings,
,responsibilities include attending periodic industry meetings events including speaking engagements in conjunction with RRS Business Development staff for the purposes of assisting business development functions.


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