Business Analyst – Investment Compliance

1. Overview

We are seeking an experienced Investment Compliance Consultant to provide expert guidance and support to our organization on a project or ongoing basis. This consultant will bring specialized knowledge of investment compliance requirements, best practices, and regulatory frameworks to help strengthen our compliance program, address specific compliance challenges, and ensure our investment operations meet the highest standards of regulatory adherence.

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2. Engagement Scope

Compliance Program Assessment & Enhancement

The consultant will conduct a comprehensive review of our existing investment compliance program, identifying gaps, weaknesses, and opportunities for improvement. This includes evaluating current policies, procedures, controls, and monitoring systems against regulatory requirements and industry best practices. You'll provide detailed recommendations for enhancing our compliance framework and may assist with implementation of approved changes.

Regulatory Guidance & Interpretation

You'll serve as a subject matter expert on complex regulatory matters, providing guidance on SEC rules, FINRA requirements, the Investment Advisers Act, and other applicable regulations. This includes interpreting new or amended regulations, assessing their impact on our operations, and advising on compliance strategies. The consultant will help navigate ambiguous regulatory situations and provide practical solutions that balance compliance obligations with business objectives.

Policy & Procedure Development

The consultant will assist in drafting, revising, or updating compliance policies and procedures specific to investment activities. This may include creating policies around trade allocation, best execution, conflicts of interest, personal trading, political contributions (pay-to-play), and other critical compliance areas. You'll ensure documentation is clear, comprehensive, and tailored to our specific business model and regulatory obligations.

Risk Assessment & Testing Design

You'll help design and implement risk-based compliance testing programs that effectively identify potential violations and control weaknesses. This includes developing testing methodologies, creating surveillance parameters, and establishing key risk indicators. The consultant may also conduct testing activities and provide analysis of results with actionable remediation recommendations.

Regulatory Examination Support

The consultant will provide guidance and support during regulatory examinations by the SEC, FINRA, or other regulatory bodies. This includes helping prepare for examinations, reviewing document requests, assisting with response preparation, and providing strategic advice throughout the examination process. Post-examination, you'll help develop remediation plans to address any deficiencies identified.

Training & Knowledge Transfer

You'll develop and deliver targeted training programs for compliance staff, investment personnel, and senior management on specific compliance topics. The consultant will also facilitate knowledge transfer to internal teams, building their capability to maintain and enhance the compliance program independently.

Special Projects & Initiatives

The consultant may be engaged for specific projects such as implementing new compliance technology, conducting mock audits, developing Form ADV disclosures, creating compliance manuals, or addressing specific deficiency findings. You'll bring fresh perspective and specialized expertise to complex compliance challenges.

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3. Qualifications & Experience

Required

• Bachelor's degree in Finance, Business, Legal Studies, or related field; advanced degree (JD, MBA) strongly preferred
• Minimum 7-10 years of progressive experience in investment compliance, with at least 3 years in a senior or leadership role
• Deep expertise in SEC and FINRA regulations governing investment advisers and broker-dealers
• Proven track record of successfully managing compliance programs or consulting engagements
• Series 7, Series 66, and/or Series 24 licenses preferred
• Strong project management skills with ability to deliver results within defined timelines
• Excellent written and verbal communication skills, including ability to present to senior leadership and boards
• Experience with compliance management systems and investment technology platforms

Preferred

• Professional certifications such as Certified Regulatory Compliance Manager (CRCM), Certified Compliance & Ethics Professional (CCEP), or similar credentials
• Prior consulting experience or experience working with multiple types of investment firms
• Experience with various business models including RIAs, broker-dealers, private funds, and institutional asset managers
• Knowledge of specialized areas such as ESG investing, alternative investments, or specific asset classes
• Previous regulatory examination experience (as examiner or in response role)
• Strong network within the compliance and regulatory community

Key Competencies

• Strategic thinking with ability to see both big picture and critical details
• Independent judgment and ability to provide objective, unbiased advice
• Exceptional problem-solving skills with creative yet practical approach
• Strong business acumen to balance compliance requirements with operational realities
• Ability to quickly understand complex organizational structures and workflows
• Professional presence and credibility with senior executives and boards
• Flexibility and adaptability to different organizational cultures and work environments
• Discretion and ethical judgment when handling sensitive information

Engagement Details

• This is a consultant/contractor position with flexible engagement terms (project-based, part-time, or ongoing retainer)
• Work may be performed remotely with periodic on-site visits as needed
• Hours will vary based on project scope and organizational needs
• Compensation commensurate with experience and engagement structure
• Consultant must maintain professional liability insurance

Deliverables

Depending on the specific engagement, deliverables may include:

• Comprehensive compliance program assessment reports
• Gap analysis with prioritized recommendations
• Documented policies and procedures
• Risk assessment frameworks and testing protocols
• Training materials and presentations
• Regulatory response documents
• Implementation roadmaps with timelines
• Regular status updates and progress reports

We value diversity of thought and experience. We welcome proposals from consultants of all backgrounds who can bring expertise and fresh perspectives to our compliance challenges.

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