OFFICE LOCATIONS

Washington, DC Metro Office
107 Royal Street, SW
Suite C
Leesburg, VA 20175
703-779-8860 (phone)
703-779-8099 (fax)

New York, NY Office
250 Park Avenue
7th Floor
New York, NY 10177
212-572-4883 (phone)
212-572-6499 (fax)

San Francisco, CA Office
425 Market Street
Suite 2200
San Francisco, CA 94105
415-912-2840 (phone)
415-397-6309 (fax)

Careers at Frontline Compliance. Regulatory Experts. Compliance Consultants.

Careers at FrontLine Compliance - Join Our Team!

SEC INVESTMENT ADVISER CONSULTANT

We are currently seeking Consultants with Investment Adviser regulatory compliance experience. Experience as a former or current SEC examiner with a history of working with investment advisers and/or mutual funds is required for this position. Other applicants will not be considered.

Description:

Expanding, cutting edge compliance consulting firm is seeking skilled and energetic individuals for multi-faceted investment adviser compliance projects. The SEC Investment Adviser Consultant would become part of a highly skilled, entrepreneurial team of compliance professionals, and would offer their expertise in the following investment adviser compliance areas:

Mock SEC audits
Forensic Testing and Internal Control Reviews
Review and draft compliance policies and procedures
SEC and State registrations and filings
Advertising and marketing reviews
Personal trading compliance reviews
Product reviews and analysis
Written reports of compliance recommendations
Compliance program implementation

Requirements:

The ideal candidate will have a minimum of 10 years experience in investment adviser compliance, with expertise in the Investment Advisers Act of 1940, the Investment Company Act of 1940, and all relevant rules and regulations. 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.

We offer a competitive compensation rate based on the candidate’s level of experience. Relocation is not necessary. Some travel is required (less than 25 percent).

To be considered, please email your resume to careers@frontlinecompliance.com or fax to 703-779-8099.

FrontLine Compliance 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.