Careers

If you have senior-level experience and understand our customized approach to partnering with our clients, we’d like to hear from you. If you’ve been frustrated by other firms’ standardized, off-the-shelf approach and want to explain to a business how a proactive compliance strategy is an absolute necessity, we’d like to hear from you. Here are the professionals we’re currently seeking:

SEC Investment Adviser Consultant Expand Collapse

Remote Position

We are seeking Consultants with Investment Adviser regulatory compliance experience in both retail and institutional accounts. Open-end mutual fund experience a plus. Experience as a former or current SEC examiner or consultant preferred.

Description:
Skilled and energetic individuals needed for high-level, 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:

  • Forensic Testing and Internal Control Reviews
  • Review and draft compliance policies and procedures
  • Mock audits
  • SEC registrations and filings
  • Advertising and marketing reviews
  • Personal trading compliance reviews
  • Electronic surveillance reviews
  • Written reports of compliance recommendations
  • Compliance program implementation and ongoing consulting support
  • Webinar participation (optional)

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 and the Investment Company Act of 1940. The candidate should possess solid writing abilities and exceptional communication skills. Bachelor’s Degree required. Certified Regulatory Compliance Professional (CRCP) or equivalent certification desired.

Private Fund Consultant Expand Collapse

Remote Position

We are currently seeking Consultants with Private Fund regulatory compliance experience with an emphasis on hedge funds, private equity, venture capital, or other private fund structures. Additional experience with NFA/CFTC firms a plus. Experience as a former or current SEC and/or NFA examiner or consultant preferred.

Description:
Skilled and energetic individuals are needed for multi-faceted private fund compliance projects. The Private Fund Consultant would become part of a highly skilled, entrepreneurial team of compliance professionals, and would offer their expertise in the following private fund compliance areas:

  • Forensic Testing and Internal Control Reviews
  • Review and draft compliance policies and procedures
  • Mock audits
  • SEC and NFA/CFTC registrations and filings
  • Advertising and marketing reviews
  • Personal trading compliance reviews
  • Electronic surveillance reviews
  • Written reports of compliance recommendations
  • Compliance program implementation and ongoing consulting support
  • Webinar participation (optional)

Requirements:
The ideal candidate will have a minimum of 10 years’ experience in private fund compliance, with expertise in the Investment Advisers Act of 1940, the Investment Company Act of 1940, and NFA/CFTC regulations for CPOs and CTAs. The candidate should possess solid writing abilities and exceptional communication skills. Bachelor’s Degree required. Certified Regulatory Compliance Professional (CRCP) or equivalent certification desired.

Dual Registrant Consultant Expand Collapse

Remote Position

We are seeking Consultants with Broker-Dealer regulatory compliance experience with an emphasis on dual registrants with retail accounts. Experience as a former or current FINRA or SEC examiner and/or CCO of a dually registered firm with a history of broker-dealer and investment adviser compliance work is preferred.

Description:
Skilled and energetic individuals are needed for multi-faceted dual registrant compliance projects. The Dual Registrant Consultant would become part of a highly skilled, entrepreneurial team of compliance professionals, and would offer their expertise in the following dual registrant compliance areas:

  • Review and draft WSPs and RIA policies and procedures
  • Forensic Testing and Risk Assessments
  • Branch Office Audits for both RIA and BD
  • Due Diligence Reviews
  • FINRA ​and SEC Annual Compliance Reviews
  • Mock Regulatory Audits
  • FINRA and SEC registrations and filings
  • Advertising and marketing reviews; FINRA filings
  • Trading compliance reviews
  • Compliance evaluations and written reports of recommendations
  • Compliance program implementation
  • Product reviews and analysis

Requirements:
The ideal candidate will have a minimum of 10 years’ experience in dual registrant compliance, with expertise in FINRA/NASD rules and regulations, the Securities Act of 1933, the Exchange Act of 1934 and the Investment Advisers Act of 1940. 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. Travel is required (generally less than 20 percent).

To be considered, please email your resume to careers@frontlinecompliance.com.

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.

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