Compliance Consultant

LHH Recruitment Solutions is seeking a Compliance Consultant at our top tier financial services client in Philadelphia, PA.

Responsibilities include:

• Maintenance of the employee compliance reporting system (including but not limited to testing and inputting transaction details)
• New employee hire and termination processes
• Conduct ad hoc due diligence requests on counterparties, vendors, and other third parties
• Maintenance of the firm's restricted list (including updating for new restrictions)
• Monitoring employee trade activity
• Data entry, exception review and issue tracking
• Review and analysis of employee certifications
• Testing required by regulators
• Monthly cybersecurity review of vendors
• Code of Business Conduct and Ethics monitoring and testing
• Assist with regulatory filings and documentation requests
• Form ADV reviews of sub-advisers
• Monthly and quarterly testing memos on a variety of topics
• Administration of the firm's AI Governance Committee
• Disclosure library for international jurisdictions
• Special and ad hoc projects as they frequently arise

Equal Opportunity Employer/Veterans/Disabled

Benefit offerings include medical, dental, vision, life insurance, short-term disability, additional voluntary benefits, EAP program, commuter benefits, and 401K plan. Our program provides employees the flexibility to choose the type of coverage that meets their individual needs.

Pay Details: $45.00 to $55.00 per hour

Military connected talent encouraged to apply

Ref: US_EN_27_849189_