Senior Associate, Compliance Consulting

About the role

We are looking for a Senior Associate to be an essential part of the team assisting the Financial Services Compliance & Regulation - Compliance Consulting practice, to support the delivery of regulatory compliance and consulting services to a range of financial services clients. We are looking for bright, innovative individuals to be part of a growing team, individuals that have initiative and who will relish taking on responsibility.

What you'll do

• Work closely with the Financial Services Compliance & Regulation – US Compliance Consulting practice to deliver ongoing compliance support and consulting services to…
• Support SEC mock examinations, SEC Rule 206(4)-7 annual compliance reviews, and compliance gap assessments, including preparing information request lists
• Assist with the development, review, and implementation of compliance programs, policies, procedures, and testing in accordance with applicable SEC and FINRA requirements
• Review marketing and communications materials for compliance with applicable SEC and FINRA requirements and assist clients with related compliance considerations
• Support the administration and monitoring of personal trading, Code of Ethics, and electronic communications surveillance programs

What you need

• 5–7 yrs of experience
• Compliance
• Documentation
• B.Com or BBA or MBA or M.Com