Careers at FLC - Join Our Team!
CONSULTANT
We are currently seeking Consultants with Investment Adviser and/or Broker-Dealer regulatory compliance experience.
Description:
A rapidly growing, cutting edge compliance consulting firm, FLC is looking for skilled and energetic individuals to assist with several multi-faceted compliance projects. As a Consultant with FLC, you would become part of a highly skilled, entrepreneurial team of compliance professionals, and would offer your expertise in the following compliance areas:
Mock SEC and FINRA audits
Review and draft compliance policies and procedures
SEC, FINRA and State registrations and filings
Advertising and marketing reviews
Personal trading compliance reviews
Product reviews and analysis
Internal control reviews and testing
Compliance program implementation
Client contact for daily compliance administration
Requirements:
The ideal candidate will have a minimum of 3 years experience in securities compliance, with expertise in the Investment Adviser's Act of 1940, the Investment Company Act of 1940, or other relevant SEC and FINRA rules and regulations. Preferred background is current or former regulatory compliance consultant or SEC/FINRA examiner with a history of working with investment advisers or broker-dealers. The candidate should possess solid writing abilities and exceptional communication skills. Bachelor's Degree in Finance, Business, Accounting, or related field required. Certified Regulatory Compliance Professional (CRCP) or equivalent certification desired.
FLC offers a competitive compensation rate based on the candidate's level of experience. Relocation is not necessary. Some travel may be required.
To be considered, please email your resume to or fax to 703-518-4480.
FLC is an Equal Opportunity Employer. Qualified applicants will be considered without regard to race, religion, age, ancestry, national origin, sex, sexual orientation, marital status, disability, or medical condition.
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