Registrations Associate – Delray Beach, FL

Responsible for supporting compliance consultants in the delivery of expert advice to investment advisers regarding SEC and/or state regulatory requirements and regulatory best practices.   Responsibilities The Registrations Associate shall assist compliance consultants in providing regulatory compliance consulting services to investment advisers and/or broker-dealers. Responsibilities will include: Assisting in the...

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Compliance Consultant – IA – Delray Beach

NCS Regulatory Compliance is an industry leader in compliance consulting services to Broker Dealers, Investment Advisers and Hedge Funds. We are seeking an Investment Adviser Compliance Consultant in our Delray, FL office who will be a key team player responsible for servicing our compliance consulting clients and supporting department staff...

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