Regulatory Compliance Consultant

Resources Global Professionals   •  

Miami, FL

Industry: Professional, Scientific & Technical Services

  •  

8 - 10 years

Posted 42 days ago

THE RGP CONSULTING EXPERIENCE
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.

PURPOSE OF THE ROLE
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.

ATTRIBUTES OF CONSULTANTS WITH RGP

  • 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

KEY RESPONSIBILITIES OF THE ROLE

  • 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

DESIRED EXPERIENCE AND REQUIREMENTS

  • 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