Regulatory Compliance and Operation Specialist

Regulatory Compliance and Operations SpecialistCIMA Financial Regulation Consultants, LLC is a premier service provider of domestic and international financial regulatory consulting services focused on securities and banking regulation compliance. As a Compliance Specialist you will partner with a senior manager in providing day-to-day compliance tasks for our international wealth management clients. You will be responsible for interacting with and maintaining a relationship with senior (mainly C-level) management of various financial institutions, including banks, broker dealers, and registered investment advisors. You are expected to have working knowledge and provide guidance with regulations and laws that apply to the financial services industry and how these will impact on the business strategy of each client you manage. You may find yourself working on audits, reviewing policies and procedures, licensing and registration, internal reviews or acting in a supervisory or compliance officer capacity. You will use your analytical skills to evaluate risks related to controls across our clients’ lines of business. Typical projects may include designing and implementing compliance practices, including Governance & Oversight (including Quality Assurance), Regulatory Management, Policies & Procedures, Training & Awareness, Monitoring & Testing, Issue Management and Risk Assessment & Reporting, performing due diligence and/or reviewing client advertisements and accounts during onboarding process. We are primarily seeking a candidate with experience working with Registered Investment Advisors and broker/dealers. Specifically, document creation and updating include but are not limited to ADVs and WSP’s. Experience in RIA compliance including registration and formation is a desired experience. Services provided to our clients include: Serving as supervisory principal Reviewing, drafting, and editing policies and procedures. Reviewing, drafting, and editing disclosure documents. Providing general guidance to clients on risk management and controls. Perform transactional reviews of client accounts. Research for both domestic and international regulations and guidance. Audit sample testing and review of supervision procedures for senior management. Drafting of review and audit reports for senior management. Drafting of exception reports for senior management. Perform Risk Assessments and identify underlying controls for mitigation of risk. Perform due diligence and background checks in accordance with know your customers’ rules.