Registrant Law is seeking a part-time compliance consultant to join Registrant Law's securities law and regulatory compliance practice. This position would be primarily remote.
About the position:
- AML
- Assist with Anti-Money Laundering (AML) for Securities Dealers
- AML effectiveness reviews
- Assist clients with development of AML programs, including policies and procedures, risk assessments, and training
- Monitor updates to AML/TF legislation and implement changes
- Other AML matters
- Securities Compliance
- Assist clients with development of compliance programs, including policies and procedures, monitoring and testing
- Complete various regulatory filings
- Compliance monitorships
- Other compliance matters
- Registration
- NRD filings for new and existing registrants, firm and individual
- Developing and filing new firm and individual applications
- Outside Activity related filings
- Liaise with regulators
- Other registration matters
Qualifications:
- The candidate should have a professional designation such as a Lawyer or CFA and have relevant experience in the securities industry
- Attention to detail and comprehensive in their work
- Excellent written and verbal communication and strong interpersonal skills
- Proficient in Microsoft Office and technology