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Compliance Consultant
$124,800 - $135,200/Yr
SolomonEdwards - Charleston, WV
posted 2 months ago
Full-time - Mid Level
Remote - Charleston, WV
About the position
The Compliance Consultant at SolomonEdwards will conduct third-party due diligence for a commercial banking client, focusing on Separately Managed Accounts (SMAs) and alternative investment strategies. This role requires expertise in SEC regulations and the Investment Advisers Act of 1940, ensuring compliance while evaluating risks associated with third-party managers and alternative investments.
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
