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SolomonEdwards Compliance Consultant (Conflicts Inventory and Risk Register) in Topeka, Kansas

Compliance Consultant (Conflicts Inventory and Risk Register) Remote - USA,USA Compliance Consultant (Conflicts Inventory and Risk Register) Position Overview: We are seeking a skilled Remote Compliance Consultant with focus on Conflicts Inventory and Risk Register experience with expertise in RIA and Broker-Dealer regulations to drive the Risk and Control Self-Assessment (RCSA) initiatives. We require a proactive problem solver with a deep understanding of FINRA and SCC regulations, coupled with the ability to navigate RCSA intricacies. Additional duties of deciphering regulations, translating Standard Operating Procedures, and translating controls and conflict are also a focus. Consultant will have the ability to effectively cross partner with other workstreams and be extremely action oriented to own their own success. Responsibilities: • Analyze and assess risk by interpreting various regulations, with a focus on FINRA and SCC compliance. • Coordinate and document findings in the risk register, ensuring thorough and accurate records of activities. • Conduct research on relevant laws and regulations, collaborating with the Compliance team to provide regulatory guidance and interpretation. • Work collaboratively with business partners to decipher regulations, translate Standard Operating Procedures, and articulate controls and conflicts. • Utilize established templates to drive the Risk Register within the Compliance team, ensuring alignment with industry best practices. Requirements: • Bachelor's degree or equivalent experience. • 3-5 years of experience in financial services compliance and risk management. • In-depth knowledge of RIA and Broker-Dealer compliance. • Familiarity with applied risk management concepts such as COSO and three lines of defense. • Proven ability to develop compliance risk management programs. • Excellent oral and written communication skills. • Relationship-building skills to establish trust with business leads, external partners, and regulators. • Relevant industry certifications (CRCM, CRISC) are beneficial but not required. • Experience with GRC tools (e.g., RSA Archer, SAI Global, ZenGRC) is a plus. • Strong written and verbal communication skills, including the ability to simplify complex issues. • Self-starter with the ability to manage changing priorities in a fast-paced environment. Logistics: 12-month remote engagement, open to candidates anywhere in the US. Stable remote connectivity is essential. Proficient use of technology tools such as IM, Teams, Zoom, email, phone, and text is required. A consultant must be available on camera when necessary for collaborative sessions. Join us in this exciting opportunity to contribute to the compliance landscape of a globally recognized commercial banking client during a transformative period. Travel Requirements: 100% Remote Mission and Vision We are a superior consulting firm focused on helping clients achieve their dreams and address complex situations with inspired people, deep expertise, and innovative technologies. We are a perpetual career and opportunity enterprise, focused on building long-term benefits for our people and communities. We create collaborative and supportive relationships with our people, clients and communities. Our success enables us to invest time and resources to bettering the communities in which we live to help those communities thrive. Inclusion and Diversity Statement We value the contribution and wisdom of the team. At SolomonEdwardsGroup, we have built a vibrant and inclusive community. Our team members are curious, committed, and diverse. In keeping with our mission to build value through people, we cultivate a culture where differences are celebrated, and all members are treated fairly and equitably. Employees, business partners and our extended stakeholder family are empowered to share their experiences, ideas, perspectives; to be their whole selves. Salary range $50-$60/hr. W2. The specific compensation for this role will be determined based on the education, experience, location and skill set of the individual selected for this position. Benefits offered - Health insurance, sick leave, 401(k) SolomonEdwardsGroup, LLC is an Equal Opportunity/Affirmative Action employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, national origin, disability, gender identity, sexual orientation, or protected veteran status. SolomonEdwardsGroup, LLC adheres to the California Consumer Privacy Act (CCPA). Your privacy is important to us, and we never sell your data to third parties. Personal information is only collected to match applicants with job opportunities. For more information on your rights, click here: https://solomonedwards.com/privacy-policy/#ccpa Job Ref: 141276

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