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Independence is at the core of our philosophy. Our mission is not only to be an ally in our clients compliance efforts, but to promote and expand proper corporate governance throughout the financial community.

We encourage interested candidates to review our available positions and, if qualified, contact our Human Resources department.

Compliance Consultant (Senior Level)

Job Descriptions:

We are actively recruiting candidates at the senior level. Our consultants travel frequently to provide onsite advice and assistance to clients although some positions may require only limited travel.Candidates should be proactive and responsive, able to work on a remote basis as needed, work collaboratively as a team member, and work well with a diverse group of clients.

Consultants are responsible for, among other things:

  • applying the Investment Company Act of 1940 to a client’s business
  • applying Investment Advisers Act of 1940 to a client’s business.
  • conducting mock SEC inspections.
  • conducting annual reviews.
  • assisting clients with ongoing compliance needs.
  • assisting clients with the preparation and maintenance of Form ADV,
  • interacting with the SEC, state and other regulators,
  • writing articles for various compliance publications,
  • speaking at conferences and in other public settings,
  • and developing new client relationships.

Qualifications

Interested candidates should possess strong knowledge, and the understanding and the ability to practically apply the Investment Advisers Act of 1940 and/or Investment Company Act of 1940 to our clients’ businesses. Prior SEC experience is preferred. Candidates should possess at least three to five years of relevant industry experience and a bachelor’s degree. Candidates will be required to work independently, demonstrate strong organizational skills, work effectively as a member of a team and proactively interact with a diverse group of clients. A writing sample must be submitted by a candidate upon request.

Compensation & Benefits

Compensation, which will be competitive and commensurate with industry experience. SEC3 offers an excellent benefits package.

If you’re interested in this position, email your resume to our Human Resource Dept.