Compliance Consultant

Orion Placement

Compliance Consultant managing compliance programs for fintech clients as an outsourced CCO. Leading client engagements and mentoring junior consultants in a fully remote role.

Posted 6/5/2026full-timeRemote • 🇺🇸 United StatesMid-LevelSenior💰 $75,000 - $85,000 per yearWebsite

About the role

Key responsibilities & impact

Own and manage full compliance programs for a portfolio of RIA clients as their outsourced Chief Compliance Officer
Lead client engagements from strategy through execution, serving as the primary compliance advisor and trusted point of contact for executives and boards
Mentor and coach junior consultants, reviewing their work and actively supporting their professional development
Represent the firm in high-stakes meetings with C-suite leaders, boards, and regulators
Design and continuously enhance tailored compliance programs aligned to SEC and state regulatory requirements
Draft, update, and maintain compliance policies, procedures, manuals, and training materials that are clear, practical, and audit-ready
Conduct compliance risk assessments, mock examinations, and annual reviews — including SEC Rule 206(4)-7 reviews
Monitor SEC, FINRA, and state regulatory developments and proactively communicate their impact to clients
Prepare and oversee regulatory filings including Forms ADV, U4, and other required documentation
Guide clients through regulatory examinations and any remediation efforts
Advise on both day-to-day compliance questions and long-term strategic regulatory matters
Leverage AI-enabled consulting workflows to deliver scalable, tech-forward compliance solutions

Requirements

What you’ll need

3+ years of compliance experience in financial services with direct RIA compliance experience
Experience serving as or directly supporting a Chief Compliance Officer at a Registered Investment Adviser
Strong command of the Investment Advisers Act of 1940, Form ADV, the Marketing Rule, and Code of Ethics requirements
Proven track record designing and managing compliance programs end to end
Skilled at drafting compliance policies, procedures, and manuals
Experience leading client relationships and managing complex engagements
Ability to mentor and develop junior team members
Familiarity with fintech business models and the regulatory landscape for emerging financial services
Exceptional communication and presentation skills, including presenting to executives and regulators
Bachelor's degree in Law, Finance, Business, or a related field; JD or relevant certifications a plus
Self-starter who thrives independently in a fast-paced, fully remote consulting environment.

Benefits

Comp & perks

Dental insurance
Paid time off
Retirement plan
Vision insurance

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills & Tools

compliance programsrisk assessmentsSEC Rule 206(4)-7drafting compliance policiesregulatory filingsForms ADVmock examinationscompliance manualstraining materialsregulatory examinations

Soft Skills

mentoringcoachingcommunicationpresentationclient relationship managementstrategic advisoryindependent workprofessional developmentleadershipproblem-solving

Certifications

JDrelevant certifications