What are the responsibilities and job description for the Senior Compliance Consultant position at Asgard Regulatory Group, LLC?
Job Title: Senior Compliance Consultant – AML & Regulatory Testing (Remote or Melville, NY)
Company: Asgard Regulatory Group, LLC
Job Type: Full-Time | Remote (Preferred location: Melville, NY)
Salary: $100,000 – $125,000 per year bonus
Schedule: Monday to Friday
About Us:
Asgard Regulatory Group is a boutique compliance consulting firm helping investment advisers and broker-dealers meet SEC and FINRA compliance obligations. We deliver practical, customized solutions with a client-first mindset.
Position Summary:
We are hiring a Senior Compliance Consultant to perform independent AML program reviews, FINRA 3120 supervisory control reviews, and SEC 206(4)-7 annual compliance assessments. The ideal candidate has consulting experience and holds a CAMS certification.
Responsibilities:
- Conduct AML reviews in line with FINRA and BSA requirements
- Perform FINRA Rule 3120 supervisory control testing and documentation
- Complete annual compliance program reviews for SEC-registered investment advisers
- Prepare detailed reports and compliance recommendations
- Advise clients on evolving SEC/FINRA rules and best practices
- Assist with mock exams, Form ADV filings, and remediation plans
Qualifications:
- 5 years of SEC and FINRA compliance experience
- CAMS certification (required)
- Prior experience in a compliance consulting role preferred
- Excellent writing, organizational, and client communication skills
Benefits:
- Health, dental, and vision insurance
- 401(k) with company match
- Paid time off and holidays
- Bonus opportunity
- Professional development and certification support
Location:
Remote, with preference for candidates near Melville, NY for occasional in-office meetings.
Salary : $100,000 - $125,000
