Partnership Compliance Consultant

من الإعلان الأصلي

US Accountabilities: Deliver hands-on compliance consulting services to financial services clients through on-site visits, remote engagements, and office-based activities. Conduct comprehensive compliance reviews, mock SEC and FINRA examinations, and branch office reviews for registered investment advisers and broker-dealer firms. Manage Partnership engagements throughout the full review lifecycle, including planning, testing, documentation, findings, reporting, and remediation guidance. Provide proactive client support and ensure timely, high-quality delivery of consulting engagements in…