Title: Compliance Consultant (Investment Banking)
Compensation: $50.00-$58.00/Hour
Location: Newport Beach, CA *In office Mon-Thurs* 
Duration: 6+ month contract 
Work Requirement: US Citizen, GC Holder, or Authorized to work in the U.S.

Our client is a preeminent leader across fixed income strategies, including registered 40 Act funds, and is expanding its capabilities across a broad range of opportunistic and alternative strategies in the private fund space. Given the growth of its investment advisory and distribution activities, they seek a dynamic individual to serve as a Compliance Consultant within the global compliance team of Legal and Compliance Departments. The Compliance Consultant will support the investment adviser compliance program. 

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

• 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.

ROLE REQUIREMENTS

• Minimum 2 years of regulatory compliance experience, or related experience, with a large and diverse investment management firm serving in a compliance function.
• An undergraduate degree is required
• 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.

Our benefits package includes: 

• Comprehensive medical benefits
• Competitive pay
• 401(k) retirement plan
• …and much more!

About INSPYR Solutions
Technology is our focus and quality is our commitment. As a national expert in delivering flexible technology and talent solutions, we strategically align industry and technical expertise with our clients' business objectives and cultural needs. Our solutions are tailored to each client and include a wide variety of professional services, project, and talent solutions. By always striving for excellence and focusing on the human aspect of our business, we work seamlessly with our talent and clients to match the right solutions to the right opportunities. Learn more about us at inspyrsolutions.com.

INSPYR Solutions 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, INSPYR Solutions complies with applicable state and local laws governing nondiscrimination in employment in every location in which the company has facilities
 

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