Compliance Consultant (Conflicts Inventory and Risk Register) at SolomonEdwards in Boise, Idaho, United States Job Description Compliance Consultant (Conflicts Inventory and Risk Register) Remote - USA,USA Compliance Consultant (Conflicts Inventory and Risk Register) Position Overview: We are seeking a skilled Remote Compliance Consultant with focus on Conflicts Inventory and Risk Register experience with expertise in RIA and Broker-Dealer regulations to drive the Risk and Control Self-Assessment (RCSA) initiatives. We require a proactive problem solver with a deep understanding of FINRA and SCC regulations, coupled with the ability to navigate RCSA intricacies. Additional duties of deciphering regulations, translating Standard Operating Procedures, and translating controls and conflict are also a focus. Consultant will have the ability to effectively cross partner with other workstreams and be extremely action oriented to own their own success. Responsibilities: - Analyze and assess risk by interpreting various regulations, with a focus on FINRA and SCC compliance. - Coordinate and document findings in the risk register, ensuring thorough and accurate records of activities. - Conduct research on relevant laws and regulations, collaborating with the Compliance team to provide regulatory guidance and interpretation. - Work collaboratively with business partners to decipher regulations, translate Standard Operating Procedures, and articulate controls and conflicts. - Utilize established templates to drive the Risk Register within the Compliance team, ensuring alignment with industry best practices. Requirements: - Bachelor's degree or equivalent experience. - 3-5 years of experience in financial services compliance and risk management. - In-depth knowledge of RIA and Broker-Dealer compliance. - Familiarity with applied risk management concepts such as COSO and three lines of defense. - Proven ability to develop compliance risk management programs. - Excellent oral and written communication skills. - Relationship-building skills to establish trust with business leads, external partners, and regulators. - Relevant industry certifications (CRCM, CRISC) are beneficial but not required. - Experience with GRC tools (e.g., RSA Archer, SAI Global, ZenGRC) is a plus. - Strong written and verbal communication skills, including the ability to simplify complex issues. - Self-starter with the ability to manage changing priorities in a fast-paced environment. Logistics: 12-month remote engagement, open to candidates anywhere in the US. Stable remote connectivity is essential. Proficient use of te To view full details and how to apply, please login or create a Job Seeker account