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Compliance SME Consultant
Location: Miami , FL – Remote ( some travel )
Length: 6-9 months
Start : ASAP
Interview : Video

To provide support in setting Compliance department for new Wealth Management business.

• Prior experience in Wealth Management / Registered Investment Advisor (RIA) Compliance
• Experience with the following regulators – FINRA, SEC, OCC, Federal Reserve, FDIC, Consumer Financial Protection Bureau
• Individual Investors experience – required
• Private Banking – nice to have
• Latin American experience – nice to have

Note that travel to Miami may be required

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