Career Openings

Senior Compliance Consultant - New York City

Only Candidates living in the New York City area with prior SEC experience and having strong knowledge, understanding and the ability to practically apply the Investment Company Act of 1940 and Investment Advisers Act of 1940 to a client's business should apply.

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 must have strong knowledge, understanding and the ability to practically apply the Investment Company Act of 1940 and Investment Advisers Act of 1940 to a client's business. Candidates should possess at least five to seven 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, would include a base salary plus incentive based commissions. SEC3 offers an excellent benefits package.

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