Investment Compliance Consultant Press ENTER to read the content or TAB to skip.

Investment Compliance Consultant

We are actively seeking a sharp, tech-savvy Compliance Consultant to support the investment compliance and broker-dealer program at a top-tier global asset management firm. In this role, you’ll lead initiatives to monitor and enhance regulatory practices, deploy vendor systems, and streamline approval processes. This is a high-impact role for a compliance professional eager to make a difference.

Why You’ll Want This Job:

• Earn up to $60/hr while working on high-impact projects at a global investment firm
• Contribute to a culture that values innovation, accountability, and regulatory integrity
• Be part of a forward-thinking compliance team leveraging cutting-edge technology across global operations
• Influence real business change through collaboration with Legal, Sales, and Ops teams
• Thrive in a fast-paced, hybrid work environment alongside some of the industry's brightest minds

Key Responsibilities:

• Build, implement, and manage workflows using compliance technology systems
• Monitor and test compliance with broker-dealer policies and procedures
• Support and lead compliance projects that improve operational efficiency
• Collaborate cross-functionally to improve processes and ensure global alignment
• Respond quickly to regulatory and business changes with innovative solutions

Requirements:

• 2+ years of experience in regulatory compliance within financial services
• Strong familiarity with U.S. regulatory frameworks (Investment Advisers Act, FINRA)
• Bachelor’s degree required

Nice-to-Have Experience:

• Experience with compliance vendor systems and project-based work
• Knowledge of fixed income, alternatives, or private fund structures
• Ability to thrive in matrixed global organizations with shifting priorities

Required Skills:

• Compliance technology implementation
• Regulatory monitoring and testing
• Clear written and verbal communication

_{There are no costs for candidates utilizing our services as our clients pay for all related hiring fees. All ProPivotal job postings are either actual positions we had available at the time of posting and/or are representative of positions we typically fill or expect to fill. If you see a job that interests you, respond to the ad or give us a call so that we can help you find a job you'll love. As one of the area's largest staffing firms, we help 2,500 people find jobs a year so chances are good that we can help you too.}

_{ProPivotal is an equal opportunity employer and considers qualified applicants for employment regardless of race, gender, gender identity, gender expression, age, color, religion, disability, veteran's status, sexual orientation, or any other protected factor.}