Overview
Senior Compliance Consultant Jobs in United States at InnReg
Title: Senior Compliance Consultant
Company: InnReg
Location: United States
Location: Fully Remote
Compensation: $80,000 – $100,000 (per annum)
Working Hours – 9.00AM – 5.00PM (US Eastern Time)
Position Overview
We are seeking an experienced compliance leader to join our consulting firm. This fully remote role will focus on serving as an outsourced Chief Compliance Officer (CCO) for Registered Investment Advisers (RIAs) and other financial services clients, leading client engagements, and mentoring junior team members. Working within our consulting workflows, you will design, implement, and manage compliance programs for RIAs, fintechs, and other regulated financial services firms.
Key Responsibilities
- Serve as outsourced Chief Compliance Officer (CCO) for RIA clients, taking ownership of their compliance programs.
- Lead client engagements as the primary point of contact and trusted advisor for compliance matters.
- Mentor and guide junior consultants, review their work product, and support their professional development.
- Represent InnReg in client meetings with executives, boards, and regulators.
- Design, implement, and enhance compliance programs tailored to RIA client needs and regulatory requirements.
- Draft, review, and update compliance policies, procedures, manuals, and training materials.
- Conduct compliance risk assessments, mock examinations, and annual reviews, including SEC Rule 206(4)-7 reviews.
- Monitor and interpret SEC, state, and FINRA regulatory updates; analyze their impact and communicate implications to clients.
- Prepare and oversee regulatory filings, including Forms ADV, U4, and other required documentation.
- Support clients through regulatory examinations and remediation efforts.
- Advise clients on day-to-day compliance matters and strategic regulatory questions.
Qualifications
Required
- 5+ years of compliance experience in financial services, with direct RIA compliance experience.
- Experience serving as or directly supporting a Chief Compliance Officer at an RIA.
- Strong knowledge of SEC and state investment adviser regulations, including the Investment Advisers Act of 1940, Form ADV, marketing rule, and code of ethics requirements.
- Proven experience designing and managing compliance programs.
- Track record drafting compliance policies, procedures, and manuals.
- Experience leading client relationships and managing engagements.
- Ability to manage, mentor, and develop team members.
- Experience with fintech business models and the regulatory landscape for emerging financial services.
- Excellent communication and interpersonal skills, including presenting to executives and regulators.
- Bachelor’s degree in Law, Finance, Business, or a related field; JD or relevant certifications.
- Self-starter who thrives in a remote, fast-paced consulting environment.
Nice to Have
- FINRA Series 7 and Series 24 licenses.
- Experience with Broker Dealer compliance, including FINRA rules, supervision, and suitability.
- Background in fintech subsectors such as digital assets, payment processing, lending, or neobanking.
- Familiarity with compliance technology platforms for KYC/KYB and monitoring.
- Prior consulting or professional services experience.
Why Join Us?
- Work remotely with a collaborative, high-performing team.
- Engage with a diverse client base and complex regulatory and AML challenges.
- Competitive salary, benefits, and opportunities for professional growth.
- Comprehensive support for required licensing and certifications.
About InnReg
At InnReg, we support online broker-dealers, digital lenders, alternative trading systems (ATS), crowdfunding platforms, robo-advisers, cryptocurrency platforms, and other fintechs who may be operating in a regulated environment or considering becoming regulated.
We help our clients resolve a myriad of complex compliance issues in highly regulated industries. We have helped fintech innovators launch and grow their businesses by supporting their compliance function, including providing compliance services and leadership on a fully outsourced basis.
We sift through black, white, and gray areas to identify all the pertinent regulatory issues. Then we conduct product strategy sessions to identify the most viable approach to maneuvering compliantly around those obstacles while maintaining the integrity of the original product design.
Many clients outsource their entire compliance function to InnReg. For us, that’s the true testament to the quality of our solutions and the trust we engender.
We are an equal opportunity employer and value diversity at all levels of the organization.
