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Financial Industry Compliance Consultant

Company: LexisNexis Risk Solutions
Location: San Diego
Posted on: April 9, 2021

Job Description:

Financial Industry Compliance Consultant Florida Kansas Georgia Kentucky New Hampshire North Carolina Rhode Island Connecticut Ohio Texas Utah Vermont Louisiana Delaware Washington DC Maine Washington Alabama Wisconsin Maryland Massachusetts Indiana Pennsylvania South Carolina Mississippi Missouri Consultant, Consulting Services Department Job Description Summary: Reporting to the Director of Consulting, the Consultant will be responsible for providing consulting services to assigned department clients. Such services include the preparation and filing of investment adviser registration documents, drafting of disclosure documents, conducting on-site compliance reviews of investment adviser firms, and providing consulting services on a variety of compliance and regulatory matters. The Consultant will provide assistance to Senior Consultants when required. Where applicable, the Consultant will oversee the work of department Associates. The Consultant will assist the sales department in prospective client calls and visits, as well as assistance with proposal writing. The Consultant will assist with desktop seminars and conference presentations and materials, and will participate in the development and maintenance of NRS products and services. Key Responsibilities:

  • Direct Consulting - Perform both on-site and office-based consulting services.
  • Sales Assistance - Assist sales representatives by participating in pre-sales prospect phone calls and occasional prospect on-site meetings including proposal creation.
  • Marketing Assistance - Assist the marketing departments by providing content for marketing materials as needed.
  • Product Assistance - Assist the product management function by providing guidance and advice on new or existing products/modules.
  • Conference/Education Assistance - Assist with the preparation of conference/education materials and deliver the content when required. Qualifications Summary: The Consultant should have a law or financial degree, and/or compliance experience. The area of specialty for this position is the Investment Advisers Act of 1940 and related rules and industry practices, as well as FINRA rules and regulations governing broker dealers. Experience with the Investment Company Act of 1940 and/or Securities Exchange Acts will also be considered. Strong interpersonal and writing skills are required. Travel: We are an equal opportunity employer: qualified applicants are considered for and treated during employment without regard to race, color, creed, religion, sex, national origin, citizenship status, disability status, protected veteran status, age, marital status, sexual orientation, gender identity, genetic information, or any other characteristic protected by law. If a qualified individual with a disability or disabled veteran needs a reasonable accommodation to use or access our online system, that individual should please contact or if you are based in the US you may also contact us on --1.855.833.5120. LexisNexis-- Risk Solutions Group (RSG), a portfolio of brands that span multiple industries providing customers with innovative technologies, information-based analytics and decision tools and data services that provide market-specific solutions. Approximately 8,700 employees in offices throughout the world support RSG brands by serving customers in more than 180 countries. RSG is part of RELX, a global provider of information and analytics for professional and business customers across industries. For more information, please visit and .

Keywords: LexisNexis Risk Solutions, San Diego , Financial Industry Compliance Consultant, Professions , San Diego, California

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