Job Description

The Compliance Consultant is a key member of a collaborative and dynamic consulting team at Bristal Lane Group. If you are seeking a challenging and rewarding career that will utilize your industry experience to help grow an organization that is focused on the development of the success of its people, this is the perfect opportunity for you to apply your experience and skills.

The values you will deliver:

• Ability to collaborate, initiate action, make decisions, provide creative solutions, and achieve quality results.
• Utilize industry best practices, techniques, and standards.
• Interpreting, applying, and recommending changes to organizational policies and procedures.
• Implement internal compliance workflow reviews.
• Manages review of marketing and advertising submissions, correspondence, outside business activities, ADV2b brochures, gifts logs, and non-cash compensation.
• Personal trade reviews.
• Establish and maintain a strong relationship with peers, clients, and business partners.
• Active involvement with compliance testing and third-party compliance.
• Research complex compliance & supervision issues.

What we’re looking for:

• FINRA licenses 7, 63, and 24 required.
• FINRA licenses 53, 65, or 66 preferred, but not required.
• Experience with rules and regulations set forth by FINRA, SEC, and MSRB
• Enthusiastic, positive mental attitude
• Excellent oral, written communication skills; able to communicate effectively with both technical and business partners as well as executive management
• Strong analytical skills with high attention to detail and accuracy
• Ability to multitask and prioritize in a high volume, high paced dynamic environment
• Regulatory and/or internal audit experience a plus

Equal Opportunity Employer

Bristal Lane Group is an equal opportunity employer. We are committed to diversity in our workplace and we hire the most qualified candidates without regard for age, ethnicity, gender, gender identity or expression, language differences, nationality or national origin, family or marital status, physical, mental, and developmental abilities, race, religion or belief, sexual orientation, skin color, social or economic class, education, political affiliation, military service, or any other characteristic protected by law.

Company Description

Bristal Lane Group is a national consulting firm focused on the financial services industry. Our experienced team works directly with RIA and Broker Dealer firms to support and improve processes in areas of accounting, tax, compliance, operations, transitions, human resources, information technology and cybersecurity.