Careers

Located in southern New Hampshire, Regulatory Compliance is among the industry leaders in securities compliance consulting. We offer full-service compliance consulting in every aspect of broker-dealer operations, with a specialty in accounting and auditing. The demand for our services is growing because of our dedication to excellence, high ethical standards, industry knowledge and commitment to customer service.

Founded in 1989, our company has a nationwide practice that offers a full range of compliance and related consulting services to:
     - Private placement firms
     - M & A firms
     - General securities firms
     - Third party marketers
     - Hedge funds
     - Banks and credit unions
     - Venture capital funds
     - A variety of other types of specialized securities clients

Our team of subject matter experts is familiar with every aspect of broker-dealer and RIA operations. Our consultants have deep industry experience and work diligently to stay current with the ever-changing landscape of compliance, auditing and accounting.

We offer a competitive compensation package, including:
     - Salary and a bonus plan
     - Company-paid medical plan
     - Company matched SIMPLE plan
     - 125 plan
     - Continuing education support
     - Allowance for professional licensing fees

If you are ready for a challenging, fast-paced and intellectually demanding environment, then Regulatory Compliance is the place for you!

Compliance Examiner - Per Diem

We are accepting résumés from examiners to conduct broker-dealer and investment-advisor examination projects focused on compliance with FINRA, state, and SEC rules and regulations.
The types of testing and examinations include the following:

 For Broker-Dealers

AML Examinations (FINRA Rule 3310)

Supervisory Controls Testing (NASD Rule 3012)

Mock FINRA Examinations

 For Registered Investment Advisors

Annual Policies and Procedures Testing (SEC Rule 206(4)-7) 

Mock SEC Examinations

Mock State Examinations

Responsibilities:

Use the firm's internal examination program and maintain detailed workpapers per internal instructions;

Stay abreast of FINRA and SEC rules and changes;

Assist the manager of examination programs to develop and enhance the examination programs; 

Plan and organize priorities while maintaining the highest level of service possible to clients, and managing projects and goals within deadlines;

 Attend conferences and meetings as requested;
 

Travel required. Amount of travel will vary depending on firm’s needs and examiner’s experience. Candidate should possess valid driver’s license and a personal vehicle;

Perform other related duties as assigned.

Skills/Abilities:

Understanding of Investment Firm Operations: Understanding of back office broker-dealer or RIA operations. Must be able to demonstrate knowledge of operations, policies, procedures and securities laws and regulations under which the investment firm operates;

Effective Oral and Written Communication: Conducting onsite examinations requires the ability to verbally communicate with firm associates in an effective and professional manner. Results of testing and examinations must be written in a well developed and precise format;

Interpersonal Skills: Our firm takes pride in building strong relationships with our clients. This in turn has assisted us in obtaining referrals and growing our firm. We are looking for someone with a positive and professional attitude who can help maintain this culture at our firm;

Time Management: During examinations, there may be a time crunch to get the work done by a specific deadline;

Detail Oriented: A large portion of these examinations requires the review of various books and records. Being detailed oriented and able to detect issues and rule violations is critical;

Independence: Ability to be self-motivated and work in a location with little or no onsite supervision;

Ongoing Learning: Willingness to learn new programs and processes and increase your compliance and industry knowledge;

Adaptiveness: Willing to adjust with the firm as we grow and adapt to processes and systems change.

Experience:

Required: At least 3 years broker-dealer and/or investment advisor examination experience.
Preferred: Experience working with smaller broker-dealers and investment advisory firms is a plus.

Education/Training:

Degree: Bachelors degree preferred.
Licenses: None required, however; the Series 7, 24 and/or 27 would be a plus.
Certifications: None required, however; the CRCP, CFSA, and/or CAMS certification would be a plus.

Send your résumé to us.