Pay: $75,000.00 - $85,000.00 per yearWhy This Is a Great OpportunityBe the trusted compliance authority for a growing portfolio of fintech clients, with real ownership of their programsWork at the forefront of fintech regulatory innovation, advising disruptive companies that are reshaping financial servicesEnjoy a fully remote role with genuine flexibility, backed by a sharp, collaborative, and mission-driven teamDive into exciting fintech verticals including digital assets, robo-advisers, neobanking, and beyondEarn performance bonuses tied to client and firm successGrow professionally with dedicated firm support for licensing, certifications, and continuing educationMake a direct impact — your work protects innovative companies and helps them launch, scale, and thriveLocation: This is a fully remote opportunity — work from anywhere in the U.S. that suits your life. The team operates on Eastern Time (9:00 AM to 5:00 PM ET), and exceptional candidates based on the West Coast (Pacific Time) are encouraged to apply.Note: This role requires direct, hands-on RIA compliance experience — specifically, having served as or directly supported a Chief Compliance Officer at a Registered Investment Adviser. Candidates without this background will not be considered.About UsWe are a leading regulatory compliance and operations consulting firm serving financial services companies and fintechs since 2013. Our team of licensed compliance experts helps clients navigate complex regulatory environments, launch innovative products, and scale with confidence. We serve broker-dealers, RIAs, digital lenders, robo-advisers, crowdfunding platforms, and more — providing outsourced compliance leadership that executives, boards, and regulators trust. Many of our clients outsource their entire compliance function to us, and that trust is something we take seriously. Confidential Employer.Job DescriptionOwn and manage full compliance programs for a portfolio of RIA clients as their outsourced Chief Compliance OfficerLead client engagements from strategy through execution, serving as the primary compliance advisor and trusted point of contact for executives and boardsMentor and coach junior consultants, reviewing their work and actively supporting their professional developmentRepresent the firm in high-stakes meetings with C-suite leaders, boards, and regulatorsDesign and continuously enhance tailored compliance programs aligned to SEC and state regulatory requirementsDraft, update, and maintain compliance policies, procedures, manuals, and training materials that are clear, practical, and audit-readyConduct compliance risk assessments, mock examinations, and annual reviews — including SEC Rule 206(4)-7 reviewsMonitor SEC, FINRA, and state regulatory developments and proactively communicate their impact to clientsPrepare and oversee regulatory filings including Forms ADV, U4, and other required documentationGuide clients through regulatory examinations and any remediation effortsAdvise on both day-to-day compliance questions and long-term strategic regulatory mattersLeverage AI-enabled consulting workflows to deliver scalable, tech-forward compliance solutionsQualificationsRequired:3+ years of compliance experience in financial services with direct RIA compliance experienceExperience serving as or directly supporting a Chief Compliance Officer at a Registered Investment AdviserStrong command of the Investment Advisers Act of 1940, Form ADV, the Marketing Rule, and Code of Ethics requirementsProven track record designing and managing compliance programs end to endSkilled at drafting compliance policies, procedures, and manualsExperience leading client relationships and managing complex engagementsAbility to mentor and develop junior team membersFamiliarity with fintech business models and the regulatory landscape for emerging financial servicesExceptional communication and presentation skills, including presenting to executives and regulatorsBachelor's degree in Law, Finance, Business, or a related field; JD or relevant certifications a plusSelf-starter who thrives independently in a fast-paced, fully remote consulting environmentNice to Have:FINRA Series 7 and Series 24 licensesBroker-dealer compliance experience including FINRA rules, supervision, and suitabilityBackground in fintech subsectors such as digital assets, payment processing, lending, or neobankingFamiliarity with compliance technology platforms for KYC/KYB and transaction monitoringPrior consulting or professional services experienceWhy You Will Love Working HereOur team is sharp, collaborative, and genuinely passionate about compliance done right — you will be challenged and supported in equal measureNo two days look the same — every client engagement is unique, and the fintech landscape keeps your work constantly evolvingWe invest in our people through licensing support, certifications, and ongoing professional developmentAs a senior consultant, your voice matters — you will shape how we work, how we advise clients, and how we develop the next generation of compliance talentWe have built a culture of trust, excellence, and genuine care — for our clients and for each otherJPC-1179Benefits:Dental insurancePaid time offRetirement planVision insurance
