Careers

Compliance Associate – FL or NH

compliance associate

NCS Regulatory Compliance is an industry leader in compliance consulting services to Broker Dealers, Investment Advisers and Hedge Funds. The Compliance Associate will be responsible for supporting senior compliance consultant staff in the delivery of expert advice to investment advisers regarding SEC and/or state regulatory requirements and regulatory best practices....

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Senior IA Compliance Consultant – Delray Beach, FL

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The Senior IA Compliance Consultant is responsible for managing relationships with Investment Advisor compliance clients and providing those clients with expert advice and guidance related to the design and execution of their compliance programs. This qualified candidate will be responsible for: Serve as lead relationship manager and primary client liaison with RIA...

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Registrations Associate – Delray Beach, FL

compliance associate

The Registrations Associate is 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:...

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Compliance Consultant – IA – Delray Beach

compliance associate

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 Beach, FL office who will be a key team player responsible for servicing our compliance consulting clients and supporting department...

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