Partnership Compliance Consultant

Accountabilities:: Deliver hands-on compliance consulting services to financial services clients through on-site visits, remote engagements, and office-based activities. Conduct comprehensive compliance reviews, mock SEC and FINRA examinations, and branch office reviews for registered investment advisers and broker-dealer firms. Manage Partnership engagements throughout the full review lifecycle, including planning, testing, documentation, findings, reporting, and remediation guidance. Provide proactive client support and ensure timely, high-quality delivery of consulting engagements in line with agreed objectives and deadlines. Prepare clear, structured, risk-rated compliance reports that prioritize findings, identify regulatory gaps, and recommend practical corrective actions. Advise clients on relevant regulatory frameworks, including the Investment Advisers Act of 1940, the Securities Act of 1933, the Securities Exchange Act of 1934, FINRA supervision rules such as Rules 3110 and 3120, and Regulation Best Interest (Reg BI). Communicate compliance findings and recommendations effectively to client stakeholders at different organizational levels, helping leadership understand risks and determine appropriate remediation priorities. Review the workpapers, analyses, and findings prepared by Associate Consultants to ensure accuracy, consistency, and compliance with internal quality standards. Mentor and support Associate Consultants in their technical development, regulatory knowledge, analytical capabilities, and client service delivery. Develop and deliver educational content for industry conferences, webinars, and other professional learning initiatives, contributing to thought leadership and regulatory awareness. Guide clients in using compliance technology solutions to improve regulatory oversight, streamline workflows, and strengthen their compliance programs. Collaborate with sales teams on prospective client discussions, pre-sales consultations, and proposals, providing technical expertise and helping align solutions with client needs. Stay informed about regulatory developments, emerging compliance risks, and technology innovations to ensure consulting recommendations remain relevant and effective. Travel to client locations as needed to deliver engagements, build relationships, and support successful project outcomes. Requirements: A degree in law, finance, or a related discipline, or equivalent professional experience in compliance. Previous experience in compliance consulting or delivering compliance services within a financial services firm. Strong knowledge of the Investment Advisers Act of 1940 and/or the Securities Exchange Act of 1934, along with relevant FINRA rules and regulatory requirements, including Regulation Best Interest. Demonstrated ability to conduct compliance reviews, assess regulatory risks, evaluate controls, identify deficiencies, and develop practical remediation recommendations. Strong analytical and problem-solving skills, with exceptional attention to detail and the ability to interpret complex regulatory requirements. Excellent written communication skills, including the ability to prepare clear, well-organized reports and communicate technical findings to non-technical stakeholders. Strong interpersonal and relationship management skills, with the ability to build trust and collaborate effectively with clients, colleagues, and senior-level stakeholders. Ability to manage multiple client engagements, prioritize competing deadlines, and deliver high-quality work independently. Willingness and ability to travel approximately 20–30% of the time to client sites across the United States. Proficiency in Microsoft Office Suite, including the tools needed for documentation, analysis, reporting, and presentations. Experience working across both investment adviser and broker-dealer regulatory frameworks is an advantage. Familiarity with regulatory technology (RegTech), AI-assisted compliance tools, and technology-enabled risk management solutions is preferred. A proactive, client-focused approach, combined with sound professional judgment, adaptability, and a commitment to continuous learning. Applicants must be authorized to work for any employer in the United States, as employment visa sponsorship is not available for this position. Benefits: Competitive base salary: $110,000–$140,000 per year, depending on qualifications, skills, training, certifications, and experience. Total compensation: Estimated all-in compensation of $121,000–$154,000, including applicable bonus and benefits offerings. Remote work flexibility: A remote-based position with a combination of virtual consulting, office-based work, and client-site visits. Professional development: Opportunities to expand regulatory expertise, strengthen consulting skills, and develop leadership capabilities through mentoring and client engagement. Industry exposure: Opportunities to work with investment advisers, broker-dealers, and other financial services organizations on complex regulatory and compliance challenges. Thought leadership opportunities: Participation in conferences, webinars, educational initiatives, and professional content development. Technology-driven environment: Exposure to compliance software, RegTech solutions, and emerging AI-assisted tools that support more effective compliance management. Collaborative culture: Opportunities to work with experienced compliance professionals, consultants, and sales teams in a knowledge-sharing environment. Meaningful client impact: The opportunity to help financial services organizations improve regulatory readiness, strengthen internal controls, and reduce compliance risk.