Senior Compliance Consultant; RIA

Alternative Regulatory Solutions is a national financial services consulting firm serving Municipal Advisors, Bank Dealers, Broker-Dealers, and Investment Advisors. We deliver outsourced regulatory support, ongoing surveillance, and hands-on compliance services to help firms navigate SEC, FINRA and MSRB requirements with clarity and efficiency.

We are growing and seeking a Senior Compliance Consultant with experience across Registered Investment Advisor (RIA) and Municipal Advisor (MA) regulatory frameworks. This position will play a central role in shaping, enhancing, and scaling compliance and supervisory infrastructure across advisory activities, with meaningful responsibility for program design, regulatory interpretation, and execution.

The position requires a professional who is comfortable operating with autonomy, exercising sound regulatory judgment, and translating evolving regulatory expectations into practical compliance solutions that support business objectives while maintaining a strong control environment.

The Senior Compliance Consultant role is an opportunity to own client service initiatives across RIA and Municipal Advisory Clients. The ideal candidate will serve as a trusted, client-facing advisor to Registered Investment Advisers (RIAs). This role operates within an outsourced consulting model and carries meaningful responsibility for delivering high-quality compliance services while contributing to the continued development and expansion of the firm’s RIA compliance offering.

• Serve as primary or senior compliance advisor for a portfolio of RIA clients.
• Collaborate with senior team members, while gathering and managing data from multiple internal and external sources in support of client business operations and compliance deliverables
• Design, implement, and maintain client compliance programs in accordance with the Investment Advisers Act of 1940.
• Build and maintain advanced knowledge of appropriate regulatory agency policies and procedures
• Analyze existing and proposed legislation, regulatory announcements, and industry practices, to develop and implement policies and procedures and/or controls to meet these requirements.
• Oversight of the Form ADV, including amendments and annual affirmations.
• Monitor employee electronic communications
• Use compliance systems and tools to conduct compliance surveillance, generate reports, and maintain accurate records
• Draft memos, conduct audits, participate in annual reviews, and support ad-hoc compliance projects
• Maintain and monitor the Client’s compliance calendar and regulatory books and records
• Assist in the deployment and review of quarterly and annual RIA, BD and RIC certifications
• Monitor client compliance with policies and procedures by conducting risk assessments and performing transactional as well as forensic testing
• Conduct initial and annual training for RIA professional

• Bachelor’s Degree (preferred in Business, Economics, Statistics, Accounting)
• 5+ years of prior financial services (BD, RIA, or RIC) compliance experience required.
• Demonstrated ability to design, implement, and manage compliance programs
• Strong knowledge and understanding of the Investment Advisers Act 1940, Investment Company Act of 1940, FINRA, ERISA, Dodd-Frank and other relevant regulations and laws that pertain to investors. MSRB Rules are a plus.
• Experience serving as a primary point of contact for regulatory examinations.
• Experience in dealing with cybersecurity programs and vendor management a plus.
• Proficiency in the Microsoft Office Suite including Excel, Word, PowerPoint, and Outlook
• Highly organized, adaptable, and motivated while bringing a positive attitude to solve difficult problems
• Comfortable working in a small, entrepreneurial firm setting