California Licensed Compliance Consultant
Company: VirtualVocations
Location: Mesquite
Posted on: April 4, 2025
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Job Description:
A company is looking for a Compliance Consultant.
Key Responsibilities:
Support the development and implementation of the broker-dealer
compliance program
Build and implement compliance vendor technology workflows for
regulatory alignment
Manage project timelines, resources, and stakeholder communications
for compliance initiatives
Required Qualifications:
Minimum 2 years of regulatory compliance experience with an
investment management firm
An undergraduate degree is required
General knowledge of regulatory requirements for US investment
managers and broker-dealers
Experience with compliance vendor systems is preferred
Background in various investment products is a plus
Keywords: VirtualVocations, Mesquite , California Licensed Compliance Consultant, Professions , Mesquite, Texas
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