ICSGroup is currently seeking Compliance Consultants to join our team!
What the Job Entails
The incumbent(s) will support ICSGroup clients by performing the following representative functions:
- Proactively provide compliance support to Registered Investment Advisors (“RIAs”) and management including advice on programs and policies and procedures and interpretation of regulations and company policy.
- Perform ongoing risk assessment, evaluate and report weaknesses, trends and activities, and make recommendations for corrective action.
- Conduct ongoing review and assessment of RIAs’ operational and supervisory policies and procedures.
- Review marketing and advertising material to ensure compliance with SEC rules and regulations.
- Provide guidance on best practices and regulatory trends to educate executive and senior management of investment advisor issues to avoid regulatory, financial and reputational exposure.
- Work with clients to manage the regulatory exam process effectively.
- Serve as firm-wide compliance liaison and resource to aid in the development of new systems and policies and procedures.
- Handle other ad-hoc matters and special projects/assignments as required.
Desired Qualifications and Essential Skills
The ideal candidate(s) will possess most, if not all, of the following qualifications:
- College degree required; and advanced degree (either MBA or JD) is preferred.
- 3 or more years of investment advisory compliance/regulatory experience or other related experience within financial services, operations, risk management, audit, or similar control-related experience.
- Outstanding written and verbal communication skills, with demonstrated ability to think analytically and strategically to solve problems and implement solutions.
- Ability to work independently and collaboratively on complex long-term projects across multiple business units.
- Capable of driving continuous improvement and developing efficiencies beyond scope of responsibilities.
Applicants should have a writing sample and references available upon request.
Interested individuals should submit a resume and cover letter to firstname.lastname@example.org.