Compliance Consultant

Compliance Consultant

Role Summar

yWe are seeking a Compliance Consultant to support regulatory and internal compliance functions within an asset management environment. This role will focus on employee compliance monitoring, regulatory testing, and maintaining governance processes to ensure adherence to firm policies and regulatory requirements

.

What You’ll

• DoMaintain employee compliance reporting systems, including transaction tracking and monitori
• ngSupport new hire and termination compliance process
• esMonitor employee trading activity and maintain the firm’s restricted li
• stConduct due diligence reviews on vendors, counterparties, and third parti
• esPerform data entry, exception review, and issue tracking for compliance activiti
• esReview employee certifications and support Code of Business Conduct and Ethics oversig
• htAssist with regulatory filings, documentation requests, and Form ADV revie
• wsExecute required testing (monthly/quarterly) and prepare compliance testing mem
• osConduct vendor cybersecurity reviews and support risk-related initiativ
• esSupport governance efforts, including administration of compliance committees and disclosure tracki
• ngParticipate in ad hoc compliance projects as need

ed

What You’ll Br

• ingExperience in compliance within asset management, wealth management, or financial servi
• cesExposure to employee trade monitoring, compliance testing, or regulatory report
• ingFamiliarity with Form ADV, SEC regulations, or investment advisory complia
• nceExperience with due diligence, vendor risk, or third-party revi
• ewsStrong attention to detail with the ability to manage data, documentation, and report
• ingAbility to interpret policies and apply regulatory requirements in a business sett
• ingProficiency in Excel and compliance tracking syst

ems

Top performers are fast learners, strong team players, and committed to accuracy and inclusive

ness.📍 Location: Philadelphia, PA 19104 - O

nsite💵 Pay: $

45/hr📩 Apply now to take the next step in your ca

reer!

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.

Available paid leave may include Paid Sick Leave, where required by law; any other paid leave required by Federal, State, or local law; and Holiday pay upon meeting eligibility cri

teria.

Equal Opportunity Employer/Veterans/D

isabledTo read our Candidate Privacy Information Statement, which explains how we will use your information, please navigate to https://www.lhh.com/us/en/candidate-

privacyThe Company will consider qualified applicants with arrest and conviction records in accordance with federal, state, and local laws and/or security clearance requirements, including, as appl

icable:• The California Fair Cha

nce Act• Los Angeles City Fair Chance Or

dinance• Los Angeles County Fair Chance Ordinance for Em

ployers• San Francisco Fair Chance Or

dinance