Regulatory Compliance Consultant

Renaissance Regulatory Services (RRS), located in Deerfield Beach, Florida, is a boutique consulting firm specializing in compliance and regulatory consulting. Our team comprises former regulators and experienced professionals with expertise in SEC, FINRA, and state regulatory matters. Recognized for our expertise and reliability, we provide tailored services, including regulatory examinations, supervisory procedure development, internal controls testing, compliance support, and regulatory reporting.

Serving financial institutions such as broker-dealers, investment advisers, and banks, RRS is committed to enhancing compliance programs through strategic advice and responsive support.

RRS is frequently seeking qualified candidates to support its regulatory compliance consulting and support services for broker-dealers, SEC and State registered investment advisers, hedge funds and other financial institutions. The successful candidate will be a self-starter with regulatory compliance experience, preferably with a Federal, State or Self-Regulatory organization.

The Regulatory Consultant will be responsible for designing and conducting regulatory examinations of financial institutions including broker-dealers, SEC and State registered investment advisers, hedge funds and other financial institutions. This position requires short term travel to conduct consulting engagements at the client site and through remote document inspection.

The Regulatory Consultant is responsible for participating in the development and implementation of the Company’s Regulatory Services programs. This includes creation of examination programs and content of deliverables.

The Regulatory Consultant will be responsible for attending periodic industry meetings and events, including speaking engagements, in conjunction with RRS Business Development staff for the purposes of assisting in business development functions for RRS, and will be responsible for client relationship management for existing clients to which they are assigned.

Regulatory Consultants are responsible forother matters assigned from time to time by senior management to ensure continued operations of the company. The Regulatory Consultant is responsible for ensuring that they maintain the highest ethical standards of conduct as recognized by the securities industry at all times while they are representing the company whether in the office, at client locations or industry events.

Regulatory Consultants will ensure that all client and company information is treated as confidential information in accordance with the confidentiality clause in the Company’s employee handbook, and will not disclose Client or Company information to any third party, or to any other employee that does not have a need to know the information.

2.1. Three years or more experience directly relating to conducting examinations or audits of broker-dealers and/or registered investment advisors with the SEC, FINRA, NYSE, or State Regulatory Body.

2.2. Internal audit experience with a major US or large regional full-service broker-dealer, registered investment adviser or investment company conducting compliance examinations. (Will be considered in lieu of regulatory experience.)

2.3. Professional self-starter with strong interpersonal, written and verbal communication and presentation skills.

3.1. RRS offers competitive salary and incentive-based compensation packages that will be based on the successful candidate’s qualifications and experience.

3.2. RRS Offers a full range of employee benefits, including 401(k) with Employer match provisions, health insurance, life insurance, tuition support, professional development, and paid vacation.

Candidates will be fingerprinted and subjected to extensive background check including criminal and credit checks.