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Compliance Consultant
SolomonEdwards - Cheyenne, WY
posted 2 months ago
About the position
The Compliance Consultant at SolomonEdwards is responsible for conducting thorough third-party due diligence for a commercial banking client. This role requires expertise in Separately Managed Accounts (SMAs) and alternative investment strategies, along with a strong understanding of SEC regulations and the Investment Advisers Act of 1940. The consultant will assess investment strategies, evaluate risks, and ensure compliance while effectively communicating findings to stakeholders.
Responsibilities
- Conduct in-depth assessments of third-party investment strategies across SMAs and alternative investment vehicles.
- Perform due diligence on operational processes, risk management practices, and marketing reviews for third-party collateral.
- Identify, evaluate, and mitigate risks associated with third-party managers and alternative investments.
- Apply expert knowledge of SEC regulations and the Investment Advisers Act of 1940 to ensure compliance.
- Document due diligence findings, analyze risk factors, and present clear insights on complex investment structures.
- Effectively communicate investment concepts, financial market trends, and economic principles to internal stakeholders.
Requirements
- Bachelor's degree in Business Administration, Management, Economics, Finance, or a related field is required.
- 5-7 years in manager due diligence, investment research, or a related field.
- Proficiency in legal interpretation relevant to investment and compliance.
- Strong analytical skills, organizational abilities, and project-oriented approach.
- Skilled in communicating complex financial concepts clearly.
- Familiarity with remote work tools (Teams, Zoom, email, etc.) and the ability to maintain high productivity in a remote setting.
Nice-to-haves
- Chartered Financial Analyst (CFA), Certified Investment Management Analyst (CIMA), or equivalent experience is strongly preferred.
Benefits
- Health insurance
- Sick leave
- 401(k)
- Access to top-tier employers and job opportunities
