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Experienced Compliance Consultant (BC27975)

Description

Experienced Compliance Consultant (BC27975)



Our client is a financial services consulting firm that is currently looking for an Experienced Compliance Consultant to join their team!    There is a path to partnership for the right person!  This position offers a lot of variety and interaction with clients. The company boasts a team-oriented culture, flexible schedule for great work/life balance, and casual dress. They encourage professional and personal development and provide their employees with the tools and training necessary to succeed.



The Compliance Consultant will be responsible for, but not limited to the following:



RESPONSIBILITIES



  • The Compliance Consultant will examine records, documents, transactions and methods for accuracy to ensure recording of transactions and compliance with applicable laws and regulations.

  • Assist with establishing an effective control structure and SOX process and control documentation for newly acquired entities and entities implementing systems.

  • Collect and analyze financial and operational data in order to test the adequacy of internal controls, verify compliance with operating procedures or regulatory requirements and evaluate the effectiveness of business processes.

  • Assist in the planning, tracking and monitoring of the SOX compliance process.

  • Participate in the maintenance of the SOX portal, including providing user training.

  • Identify best practices and suggest process improvements to business unit/location management.

  • The Compliance Consultant will advise on documentation for existing processes and process improvement solutions.


Requirements

The Compliance Consultant will possess the following:



EXPERIENCE REQUIRED



  • The Compliance Consultant will have a 5+ years’ SEC compliance and/or operations experience with an investment adviser and/or mutual fund company.

  • Ability to communicate effectively.

  • Strong computer skills including Microsoft Office products. Experience with compliance and operations software/systems a plus.

  • The Compliance Consultant will have a Bachelor’s degree in Accounting or Finance.

  • CPA a plus.




Equal Opportunity Employer

Job Snapshot

Location US-WI-Greater Mukwonago Area
Employment Type Full-Time
Pay Type Year
Pay Rate $75,000.00 - $125,000.00 /Year
Store Type Accounting, Finance
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Company Overview

Baker Tilly Search & Staffing, LLC

Baker Tilly Search & Staffing helps organizations find the talent necessary to succeed and assist people in finding rewarding careers, through our staffing, recruiting, and executive search services. You can rely on Baker Tilly Search & Staffing professionals for deep expertise in accounting and finance. No matter your career level or whether you seek full-time or flexible work, our staffing, recruiting, and executive search specialists won’t treat you like a number. Recognizing our dedication to candidate satisfaction, Inavero, Inc. named Baker Tilly Search & Staffing a 2018 Best of Staffing® Talent Diamond Award winner after winning the Best of Staffing Talent Award for five consecutive years. This award identifies Baker Tilly Search & Staffing as a top staffing firm. Learn More

Contact Information

US-WI-Greater Mukwonago Area
Snapshot
Baker Tilly Search & Staffing, LLC
Company:
US-WI-Greater Mukwonago Area
Location:
Full-Time
Employment Type:
Year
Pay Type:
$75,000.00 - $125,000.00 /Year
Pay Rate:
Accounting, Finance
Store Type:

Description

Experienced Compliance Consultant (BC27975)



Our client is a financial services consulting firm that is currently looking for an Experienced Compliance Consultant to join their team!    There is a path to partnership for the right person!  This position offers a lot of variety and interaction with clients. The company boasts a team-oriented culture, flexible schedule for great work/life balance, and casual dress. They encourage professional and personal development and provide their employees with the tools and training necessary to succeed.



The Compliance Consultant will be responsible for, but not limited to the following:



RESPONSIBILITIES



  • The Compliance Consultant will examine records, documents, transactions and methods for accuracy to ensure recording of transactions and compliance with applicable laws and regulations.

  • Assist with establishing an effective control structure and SOX process and control documentation for newly acquired entities and entities implementing systems.

  • Collect and analyze financial and operational data in order to test the adequacy of internal controls, verify compliance with operating procedures or regulatory requirements and evaluate the effectiveness of business processes.

  • Assist in the planning, tracking and monitoring of the SOX compliance process.

  • Participate in the maintenance of the SOX portal, including providing user training.

  • Identify best practices and suggest process improvements to business unit/location management.

  • The Compliance Consultant will advise on documentation for existing processes and process improvement solutions.


Requirements

The Compliance Consultant will possess the following:



EXPERIENCE REQUIRED



  • The Compliance Consultant will have a 5+ years’ SEC compliance and/or operations experience with an investment adviser and/or mutual fund company.

  • Ability to communicate effectively.

  • Strong computer skills including Microsoft Office products. Experience with compliance and operations software/systems a plus.

  • The Compliance Consultant will have a Bachelor’s degree in Accounting or Finance.

  • CPA a plus.




Equal Opportunity Employer

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