SEC Regulatory Compliance Consultant

Lead or assist in all aspects of mock regulatory examinations and compliance programme reviews (e.g., reviewing documents, conducting interviews, and drafting reports)

Perform a broad scope of work during reviews of clients of basic complexity, and to coordinate and consolidate the work of colleagues during these reviews

Provide regulatory consulting services to clients as needed (e.g., creating drafts of and submitting regulatory filings, conducting forensic testing, reviewing policies, procedures, and marketing materials and other compliance documents, and answering compliance-related questions from clients)

Provide support for ACA special projects and internal initiatives (e.g., drafting articles for industry publications, participate in sales, conduct research on compliance issues, draft or assist with internal or client training and/or presentations)