Investment Adviser Compliance Consultant

Compensation

: $134,560.00 - $134,560.00 /year *

Employment Type

: Full-Time

Industry

: Accounting



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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. Preferably, the consultant will have experience working at the SEC.
Associated topics: analyze, business analyst, business finance, business systems analyst, financial analytic, investment analyst, investment banking, legal, monitor, refine * The salary listed in the header is an estimate based on salary data for similar jobs in the same area. Salary or compensation data found in the job description is accurate.

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