More jobs:
Senior Principal Consultant
Job in
Phoenix, Maricopa County, Arizona, 85003, USA
Listed on 2026-07-29
Listing for:
Jobtailor
Full Time
position Listed on 2026-07-29
Job specializations:
-
Finance & Banking
Regulatory Compliance Specialist -
Law/Legal
Regulatory Compliance Specialist
Job Description & How to Apply Below
- Participate in mock regulatory examinations and compliance program reviews.
- Assist with policy and procedure reviews.
- Draft reports and manuals for compliance.
- Provide compliance assistance to clients including private funds and registered products.
- Take a leading role on complex projects.
- Develop client relationships and oversee ACA junior staff.
- Serve as an outsourced chief compliance officer for clients.
- Manage assigned client relationships and projects proactively.
- Bachelor’s degree.
- 8 years of industry experience.
- Alternatively, at least 6 years of related experience as an examiner or attorney with U.S. regulatory authorities, or a compliance analyst or consultant.
- Advanced knowledge of federal securities laws.
- Professional demeanor with high-profile clients.
- Major in compliance, law, business, accounting, finance, or economics preferred.
- Supervisory experience.
Position Requirements
10+ Years
work experience
To View & Apply for jobs on this site that accept applications from your location or country, tap the button below to make a Search.
(If this job is in fact in your jurisdiction, then you may be using a Proxy or VPN to access this site, and to progress further, you should change your connectivity to another mobile device or PC).
(If this job is in fact in your jurisdiction, then you may be using a Proxy or VPN to access this site, and to progress further, you should change your connectivity to another mobile device or PC).
Search for further Jobs Here:
×