Job Description

Compliance Consultant

We are seeking a Compliance Consultant to support the firm’s Control Group, which oversees the management of material non-public information (MNPI), restricted trading lists, and information barrier protocols. This is a hybrid role (4 days onsite, 1 day remote) with a pay rate of up to $60/hour. The ideal candidate is a detail-oriented compliance professional with strong communication and analytical skills, capable of working efficiently in a fast-paced and evolving environment.

Key Responsibilities:

• Support the Control Group function in coordination with Compliance and Legal departments across global offices
• Review and evaluate expert network interaction requests from investment professionals
• Chaperone internal wall-crossings and related meetings, as needed
• Review and manage access to virtual data rooms for investment professionals
• Assist with procedures related to the receipt of planned or inadvertent MNPI
• Maintain and update restricted and watchlists in a timely and accurate manner
• Enhance coordination around the handling of confidential information across the firm

Required Experience:

• 2+ years of compliance or regulatory experience, preferably in financial services
• Demonstrated experience working with confidential information and sensitive procedures
• Background in implementing or supporting regulatory policies or controls

Nice-to-Have Experience:

• Exposure to public/private-side dynamics in asset management or investment banking
• Prior involvement in Control Group functions or insider trading compliance
• Experience working in a global legal or compliance environment

Required Skills:

• Proficient in managing and executing compliance controls related to MNPI
• Strong written and verbal communication skills
• Exceptional attention to detail and organizational capabilities

Preferred Skills:

• Familiarity with insider trading laws and U.S. securities regulations
• Ability to navigate and apply internal compliance procedures
• Proficiency in coordinating across global teams in high-pressure environments

There are no costs for candidates utilizing our services as our clients pay for all related hiring fees. All ProPivotal job postings are either actual positions we had available at the time of posting and/or are representative of positions we typically fill or expect to fill. If you see a job that interests you, respond to the ad or give us a call so that we can help you find a job you'll love. As one of the area's largest staffing firms, we help 2,500 people find jobs a year so chances are good that we can help you too.

ProPivotal is an equal opportunity employer and considers qualified applicants for employment regardless of race, gender, gender identity, gender expression, age, color, religion, disability, veteran's status, sexual orientation, or any other protected factor.

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