Regulatory Compliance Consultant

Resources Global Professionals   •  

Miami, FL

Industry: Professional, Scientific & Technical Services


8 - 10 years

Posted 42 days ago

RGP has a unique consulting model that provides opportunities for consultants to work in different ways. Most consultants work in a model where they have the flexibility and autonomy to choose projects aligning to their experience, skills and desired lifestyle. Other opportunities exist in team-based, strategy and solutions work. In all models, you will feel the full support of RGP to assist you in your work and guide you on your chosen path.

As a Regulatory Compliance Consultant, you will be responsible for supporting the development and implementation of a financial services or investment management company’s global compliance program, while working collaboratively with the other members of the Compliance team and maintaining a high degree of connectivity with the Chief Compliance Officer.


  • Respect for people and opinions and confidently offer your point-of-view with clients and among colleagues
  • A drive for proactively cultivating relationships with clients and colleagues
  • Optimism when faced with challenges and complex situations, coupled with the drive to solve client issues
  • Dedication to continuous improvement and development of your skillset and talents
  • A strong personal identification with RGP’s values – loyalty, integrity, focus, enthusiasm, accountability and talent


  • Analyze compliance requirements to design appropriate solutions, develop and modify all compliance standards and procedures and develop compliance programs
  • Administer and design work plans to achieve compliance objectives effectively and manage large and complex projects
  • Evaluate all compliance programs and content, perform regular risk assessments on audits of the various compliance programs
  • Perform research and maintain knowledge of all related regulations and statutes, and design compliance policies and procedures that implement new regulations and statutes as required
  • Design required tools to assess all risks and monitor all processes to ensure compliance with industry regulations
  • Provide necessary training to team members on new compliance regulations and statutes and processes
  • Manage timely communications regarding changes and coordinate with cross-functional teams to ensure proper adherence to compliance programs
  • Perform filings per requirements, evaluate all audits and answer all inquiries


  • Bachelor’s Degree required; MBA preferred
  • 8-plus years of regulatory compliance experience, preferably in the financial services or investment management industries, including operational risk management, audit, legal, credit risk, market risk, or the management of a process or business with accountability for compliance or operational risk
  • Strong background in one or more of the following: fixed income instruments, derivatives, alternative products, private equity, private credit and structured products, quantitative strategies, etc. preferred
  • Demonstrated ability to balance regulatory and policy standards while also maintaining a solid business perspective: ability to prioritize tasks and follow-up effectively, as well as consistently produce accurate work while meeting strict deadlines
  • Demonstrated ability to execute on projects and initiatives in a focused and highly tactical manner
  • Highly flexible with the ability to multi-task - capable of rapidly changing directions based on business demands