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
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