Compliance Services Consultant - Key Bridge Compliance : Job Details

Key Bridge Compliance's mission is to make the lives of our clients better by allowing them to focus on the tasks that they enjoy and excel at. To accomplish this mission, we offer the investment adviser community a suite of outsourced compliance solutions tailored to meet their unique needs and business goals.

Since starting in 2019, our firm has grown organically from 8 employees to a team of 30 plus. Our culture and the team of compliance professionals we have assembled are the reasons why. By emphasizing our core values of freedom over formality, effective communication, and teamwork, we have created an empowered team of forward-thinking and solution-oriented compliance professionals who enjoy working together.

Key Bridge Compliance is currently seeking to hire a Compliance Services, Consultant. The Consultant, Compliance Services role is a client-facing position that works closely with the Directors, Chief Compliance Officers to address compliance issues and devise practical solutions while assisting with compliance testing and reviews.

The essential duties and responsibilities for this role include:

• Under the direction of the Manager, Compliance Services support two (2) Director-level compliance professionals in serving their Outsourced CCO and Enterprise-level clients.
• Maintain the compliance calendar in Orion Compliance on behalf of their designated clients.
• Participate and assist Directors with client meetings & trainings by creating agendas in advance of the meetings, preparing testing reports, assisting the Directors in leading compliance meetings and trainings and documenting the meetings.
• Support the administration of a robust compliance program by responding to client activities and requests quickly and with a high level of attention to detail, including:

-Advertising review

-Code of Ethics review

• Support clients' new employee onboarding and offboarding activities
• Gather information and work with Directors to complete key regulatory filings.
• Assist, coordinate and document reviews and testing and assist Directors in the preparation of compliance reports for use with KBC clients.
• Contribute to the documentation of compliance procedures, policies, and related materials.
• Actively collaborate to identify and resolve compliance issues and create effective solutions.

• As Consultants gain experience, they will be expected to assist in higher level consulting services and other duties. These higher-level consulting services may include assisting clients in the drafting and maintenance of the following key compliance documents and disclosure brochures, as appropriate, depending on the service model:

-Compliance manual

-Code of Ethics

-Form ADV Part 2A

-IAR Brochure Supplement

-Form CRS

• Stay informed about industry trends and developments in the field of compliance and risk management and help Directors communicate those trends and developments in a clear and readily understandable manner.
• Consultants will receive mentorship and professional development opportunities to facilitate growth and career advancement.
• On a case-by-case basis, the Consultant may be asked to support managing smaller consulting service relationships, including transaction-based or project-based (e.g., setting up a new firm) work.
• Assist in organizational initiatives as needed

To be successful in this role, we have found the following skillset and experience level to be needed:

• Ability to analyze complex data and information.
• Basic understanding of regulatory compliance and risk management principles.
• Strong written and verbal communication skills.
• Detail-oriented with excellent organizational and planning skills.
• Ability to manage multiple tasks and meet deadlines.
• Proficiency in Microsoft Office Suite, particularly Excel, PowerPoint, and Word.
• Less than 1 year experience
• Bachelor's degree in business, Finance, Law, or a related field.

This position is ideal for those candidates who:

• Want a flexible, hybrid work schedule. (3 days in-office, 2 days from home)
• Value a strong work-life balance.

Benefits Package

Key Bridge Compliance also seeks to offer a unique and competitive compensation and benefits package, including:

• Unlimited PTO. To promote a healthy work life balance, our employees are entitled to unlimited PTO. You will be encouraged to take at least two weeks of paid time off (PTO) per year in addition to holidays observed by the company and be eligible to take PTO immediately upon hire.
• Paid sabbatical leave. We encourage all of our employees to travel, serve their community, and pursue their personal interests outside of work. To give you the ability to fulfill your personal goals, you will be eligible for paid sabbatical leave every 5 years of employment with the firm.
• Paid parental leave. To support our employees during one of life's biggest changes, we offer our employees 12-weeks paid parental leave connected to the birth of an employee's child or the placement of an adopted child within an employee's home. You will be eligible for this benefit after you have been employed by the company for at least six months.
• Growth and learning. We are committed to giving our employees the opportunities to build new skills, helping both them and KBC become more valuable in the marketplace. Each calendar year, you will be given a budget to invest annually in your personal growth & development.
• Retirement planning. We encourage all of our employees to plan and save for their retirement. You will be eligible to participate in the KBC sponsored 401(k) plan within 60 days following the start of your employment. KBC will make a safe harbor matching contribution equal to 100% of the first 4% of eligible pay that you contribute to the plan.
• Health & Wellness. We are committed to the health and wellness of our employees and their families. We are pleased to offer employees the option to choose the benefits that apply to them. The standard benefits are described below, but there are a number of other options available to you:
• Health Insurance. KBC offers a company sponsored health insurance plan. KBC will cover 100% of employee-only health insurance premiums.
• Dental Insurance. KBC also offers a company sponsored dental insurance plan. KBC will cover 100% of employee-only dental insurance premiums.
• Vision Insurance. KBC also offers a company sponsored vision insurance plan. KBC will cover 100% of employee-only insurance premiums