Orion Placement logo
Orion Placement

We help businesses succeed by helping them make quality hires fast.

Compliance Consultant

ComplianceComplianceFull TimeRemoteSeniorTeam 1-10Since 2022H1B No SponsorCompany SiteLinkedIn

Location

United States

Posted

1 day ago

Salary

$75K - $85K / year

Seniority

Senior

Bachelor Degree3 yrs expEnglish

Job Description

Compliance Consultant

Orion Placement

• Own and manage full compliance programs for a portfolio of RIA clients as their outsourced Chief Compliance Officer • Lead client engagements from strategy through execution, serving as the primary compliance advisor and trusted point of contact for executives and boards • Mentor and coach junior consultants, reviewing their work and actively supporting their professional development • Represent the firm in high-stakes meetings with C-suite leaders, boards, and regulators • Design and continuously enhance tailored compliance programs aligned to SEC and state regulatory requirements • Draft, update, and maintain compliance policies, procedures, manuals, and training materials that are clear, practical, and audit-ready • Conduct compliance risk assessments, mock examinations, and annual reviews — including SEC Rule 206(4)-7 reviews • Monitor SEC, FINRA, and state regulatory developments and proactively communicate their impact to clients • Prepare and oversee regulatory filings including Forms ADV, U4, and other required documentation • Guide clients through regulatory examinations and any remediation efforts • Advise on both day-to-day compliance questions and long-term strategic regulatory matters • Leverage AI-enabled consulting workflows to deliver scalable, tech-forward compliance solutions

Job Requirements

  • 3+ years of compliance experience in financial services with direct RIA compliance experience
  • Experience serving as or directly supporting a Chief Compliance Officer at a Registered Investment Adviser
  • Strong command of the Investment Advisers Act of 1940, Form ADV, the Marketing Rule, and Code of Ethics requirements
  • Proven track record designing and managing compliance programs end to end
  • Skilled at drafting compliance policies, procedures, and manuals
  • Experience leading client relationships and managing complex engagements
  • Ability to mentor and develop junior team members
  • Familiarity with fintech business models and the regulatory landscape for emerging financial services
  • Exceptional communication and presentation skills, including presenting to executives and regulators
  • Bachelor's degree in Law, Finance, Business, or a related field; JD or relevant certifications a plus
  • Self-starter who thrives independently in a fast-paced, fully remote consulting environment.

Benefits

  • Dental insurance
  • Paid time off
  • Retirement plan
  • Vision insurance

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