Compliance Training Support Consultant


Investment Management Firm

Office Status: Hybrid

Seeking a dynamic individual to serve as a Compliance Consultant within the global compliance team of the firm’s Legal and Compliance Department.  The Compliance Consultant will support the external communications function and the global compliance training program.

The Compliance Consultant will be responsible for:

  • Supporting the external communications function by serving as the primary contact for inquiries regarding select elements of the compliance program from clients and prospects, and
  • Providing administrative support to the firm’s global annual compliance training program which requires  learning the firm’s training systems and processes including drafting desktop procedures, validating content, creating editable files to facilitate content review, reconciling audiences for customized compliance training and following up with personnel who have not completed the firm’s mandatory requirements.

Job Responsibilities:

  • Supporting the development and implementation of the external communications function, working closely with members of the Legal and Compliance Department to evaluate prospect and client inquiries
  • Participate in the ongoing implementation and execution of the firm’s global annual compliance training program which includes:
    • Assisting with various planning, testing and execution elements of the annual training program (e.g., communications, population validation, content development lifecycle)
    • Supporting the effective management and maintenance of content within the learning management system
    • Obtaining advanced knowledge of learning platforms to be able to effectively respond to learner inquiries
    • Periodic reporting and monitoring of completion status for mandatory training roll outs
  • Collect information to assist in the efficient preparation of quarterly, annual and periodic certifications that require a Chief Compliance Officer to serve as a signatory
  • Work with members of various teams and departments including Legal and Operations to identify and address regulatory matters
  • Must be responsive, take initiative in learning and applying new skills
  • Have a strong sense of integrity, behaving consistently with expressed values and ethical principles 

Job Requirements

  • Excellent communication and presentation skills including the ability to articulate clear ideas/strategies
  • Intelligent, bright, critical thinker, and a quick learner with the ability to assess a situation and identify issues for further action
  • A highly motivated self-starter with the willingness to “roll up your sleeves” and identify opportunities for enhancement
  • Exceptional organizational skills; the ability to effectively prioritize tasks, follow up, produce consistently accurate work, and meet strict deadlines
  • Highly flexible, multi-task oriented: capable of changing directions based on business demands
  • Consensus builder and team player with demonstrated self-awareness, cultural skills, and sensitivities to work effectively in a global organization
  • Working knowledge of MS Office suite including Word and Excel
  • Bachelor’s degree or equivalent
  • 3+ years of work experience
  • Strong attention to detail, analytical and issue-spotting skills
  • Ability to communicate clearly  and effectively in a written and oral manner
  • Ability to work independently and be a strong team player
  • Substantial initiative, creativity and drive
  • Efficiently utilize tools such as Excel spreadsheets, macros, and query tools
  • Utilize effective time management skills to maintain a commitment to quality and attention to detail; ensure that all work is completed accurate and on time
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