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:

Compliance Project Manager Expand Collapse

Rockville/N. Bethesda Office

FrontLine Compliance is the leader in the value-based compliance consulting nationwide. We are seeking a seasoned Compliance Project Manager to join our team-oriented company. If you are a passionate self-starter with effective communication skills, this is a great opportunity for you. The Compliance Project Manager will be based in our Rockville/N. Bethesda office near Washington, DC.

Description:
The individual in this position will provide project oversight and support for teams of Consultants working on multi-faceted investment adviser and private fund compliance projects. Experience as a project manager in compliance, operations, or supervision roles with investment or consulting firms or a regulatory body such as the SEC or FINRA is preferred. This position reports directly to the president of our company.

Duties Include:
The Compliance Project Manager would play a vital role at our firm, and offer their skills and knowledge in the following areas:

  • Determine and define project scope and objectives
  • Predict resources needed to reach objectives and manage resources in an effective and efficient manner
  • Track project costs and work scope in order to meet budgets and deadlines
  • Develop and manage a detailed project schedule and work plan via our SAS project management system
  • Provide project updates on a consistent basis to various stakeholders about strategy, adjustments, and progress
  • Communicate project status and updates to both senior executives as well as consulting staff responsible for deliverables
  • Utilize industry best practices, techniques, and standards throughout entire project execution
  • Monitor progress and make adjustments as needed
  • Measure project performance to identify areas for improvement
  • Lend general support to consulting services, as needed

Requirements:

  • Proven ability to solve problems creatively and efficiently
  • Ability to listen and follow directions as given and follow-up as necessary
  • Strong familiarity with project management software tools, methodologies, and best practices
  • Demonstrated track record of projects completed according to their outlined scope, budget, and timeline
  • Excellent analytical skills
  • Impeccable communications skills with the ability to communicate effectively, motivate others and offer positive feedback
  • Strong interpersonal skills and extremely resourceful

4-6 years of professional experience is required. The candidate should possess a bachelor’s degree and a concentration in Finance, Business or Economics is preferred. Please note any specific accreditation in project management skills training that you may have achieved.

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. Travel may be required (generally less than 20 percent). For Remote Consultant Positions, relocation is not necessary. For Rockville/N. Bethesda office-based positions, partial coverage of relocation expenditures is available.

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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