Compliance Consultant: IAA & FINRA rules for US investment managers & broker-dealers

THIS IS (UP TO) A 6 MONTHS CONTRACT. NO C2C CANDIDATES. AND NO, I CANNOT HIRE YOUR CONSULTANTS ON MY W2.IF YOU ARE LOCAL & CAN DO ANY AMOUNT OF ONSITE IN NEWPORT BEACH, CA THAT'S A BIG PLUS.OTHERWISE YOU MUST WORK PDT TIME ZONE 5 DAYS A WEEK.KORE1, a nationwide provider of staffing and recruiting solutions, has an immediate opening for a Compliance Consultant: IAA & FINRA rules for US investment managers & broker-dealers (FI, ALT, Derivs, CMDTY, EQTY) A bachelor's degree is required for this role. The Compliance Consultant will be responsible for supporting the broker-dealer compliance program in the following areas, among others: leverage technology to implement workflows, monitoring and testing of the firm's policies and procedures, supporting compliance-related projects, and handling reporting.This position requires a professional with diplomatic and analytical skills who can flourish in a challenging, fast-paced, and professional environment with frequent shifts in priorities as business needs dictate.

KEY RESPONSIBILITIES
• Support the development and implementation of the broker-dealer compliance program, working closely with members of the Compliance Department globally to drive enhancement and ensure consistency globally.
• Build and implement compliance vendor technology workflows to facilitate pre-approval requirements, ensuring regulatory alignment and operational efficiency.
• Manage project timelines, resources, and stakeholder communications to ensure successful delivery of compliance initiatives and technology solutions.
• Perform surveillance and testing associated with the firm's compliance policies and procedures.
• Collaborate with Client Facing. Sales, Legal, Administrative Services, and other departments to identify and enhance compliance processes and controls.
• Must take initiative in learning and applying new skillsets.
• Proactively respond to business and regulatory changes.
• Have a strong sense of integrity, behaving consistently with expressed values and ethical principles

POSITION REQUIREMENTS
• An undergraduate degree is required
• Minimum 2 years of regulatory compliance experience, or related experience, with a large and diverse investment management firm serving in a compliance function.
• General knowledge of regulatory requirements applicable to US investment managers and broker-dealers, including the Investment Advisers Act and FINRA Rules
• Background in fixed income, alternatives, derivatives, commodities and equity strategies offered in a variety of investment products including (i.e., open-end mutual funds, closed-end funds, ETFs, separate accounts and private funds) is a plus.
• Excellent problem-solving skills
• Experience using and implementing technology solutions, preferably with a focus on compliance vendor systems
• Excellent communication and presentation skills; the ability to articulate clear ideas/strategies, both verbally and in writing, internally and externally
• Intelligent, bright, critical thinker, and a quick learner with the ability to quickly assess a situation and generate new insights and usable ideas
• Service-oriented; the ability to balance regulatory and policy standards along with a business perspective
• A highly motivated self-starter with the willingness to 'roll up your sleeves' and the ability to drive change
• Exceptional organizational skills: the ability to effectively prioritize tasks, follow up, produce consistently accurate work, and meet strict deadlines
• Highly flexible, multi-task oriented: capable of rapidly changing directions based on business demands
• Consensus builder and team player with the ability to work well within a matrixed organization
• Demonstrated self-awareness, cultural skills, and sensitivities to work effectively in a global organization
• Working knowledge of MS Office Suite, including Word and Excel, with a strong desire to learn and master new software solutions.

Compensation depends on experience but is typically $45-55/hr W2.

ABOUT KORE1
Specializing in professional and technical recruiting, KORE1 is committed to supporting top IT, Engineering, Creative, Scientific, Accounting and Finance professionals in their career paths. We build deep relationships with leading companies, connecting them to exceptional talent every day. With extensive industry expertise and unmatched opportunities, our goal is to provide a unique experience for our contractors and consultants as they prepare for their next role. We are passionate about matching the right people with the right companies.

Kore1 provides equal employment opportunities (EEO) to all employees and applicants for employment without regard to race, color, religion, sex, national origin, age, disability or genetics. In addition to federal law requirements, Kore1 complies with applicable state and local laws governing nondiscrimination in employment in every location in which the company has facilities. This policy applies to all terms and conditions of employment, including recruiting, hiring, placement, promotion, termination, layoff, recall, transfer, leaves of absence, compensation and training. Kore1 expressly prohibits any form of workplace harassment based on race, color, religion, gender, sexual orientation, gender identity or expression, national origin, age, genetic information, disability, or veteran status. Improper interference with the ability of Kore1's employees to perform their job duties may result in discipline up to and including discharge.

Job Types: Full-time, Contract

Pay: $45.00 - $55.00 per hour

Expected hours: 40 per week

Benefits:
• 401(k)
• Dental insurance
• Employee assistance program
• Employee discount
• Flexible spending account
• Health insurance
• Life insurance
• Paid time off
• Vision insurance

Schedule:
• 8 hour shift
• Monday to Friday

Work Location: Remote

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