Compliance Assessment Consultant

Company Description

Are you looking to join an organization that is growing and dynamic? What about a high-energy, collaborative environment that rewards hard work?

J.S. Held is a global consulting firm that combines technical, scientific, financial, and strategic expertise to advise clients seeking to realize value and mitigate risk. Our professionals serve as trusted advisors to organizations facing high stakes matters demanding urgent attention, staunch integrity, proven experience, clear-cut analysis, and an understanding of both tangible and intangible assets.

The firm provides a comprehensive suite of services, products, and data that enable clients to navigate complex, contentious, and often catastrophic situations.

Job Description

We are seeking Compliance Assessment Support professionals to join our Digital Investigation & Discovery group. This is a unique opportunity for an entrepreneurial, highly driven person with a well-rounded skill set to join the team, whose responsibilities extend beyond those of a traditional Consultant. The ideal person for this role will not only have a strong grasp of compliance methodologies, tools, and technologies but also be flexible and a strategic thinker able to take on a variety of tasks.

In this role, you will be an integral part of our innovative compliance initiatives, working closely with the Digital Investigation & Discovery group. The selected candidate will play a pivotal role in driving the success of high-profile projects and collaborating with cross-functional teams.

We are always looking for talented and motivated individuals to join our team. This posting is to build a pipeline for future opportunities. By applying, you'll be added to our talent pool and will be among the first contacted when a relevant position becomes available. We value proactive professionals eager to contribute to our mission and grow with us.

Job Responsibilities Include:

• Develop and implement workflows to solve complex compliance-related challenges.
• Manage the implementation of compliance platforms involving electronic communications, such as Global Relay, Telemessage, CellTrust, and LeapXpert.
• Execute tasks involving the identification, organization, collection, processing, review, and production of electronic communications data.
• Prepare summaries, data visualizations, written analyses, and other presentations to support senior leadership decision-making.
• Support the team in matters involving regulatory compliance.
• Oversee the preparation and production of information for regulatory proceedings.
• Implement quality control measures throughout the compliance process.
• Stay up-to-date with compliance software, tools, and emerging technologies.
• Manage time and tasks efficiently, meeting client deadlines and supporting the broader goals of compliance projects.
• Participate actively in internal and external meetings, providing valuable insights in the compliance field.
• Generate consistent and thorough documentation, ensuring compliance with industry standards and supporting project processes.
• Engage in communication with clients, leveraging strong interpersonal skills to ensure timely completion of tasks, establish project goals, and review associated costs.
• Lead efforts to ensure high-quality client work product across project teams.
• Support the document review lifecycle, utilizing various technologies to identify responsive documents and offering consulting services.

Qualifications

Required Qualifications

• Experience working either inside of a financial services organization (in an IT or related role, or related compliance role, preferably at a manager or ‘senior analyst’ level, or similar), or as an advisor/consultant working on behalf of financial services firms as clients.
• Specific experience with compliance platforms involving electronic communications, such as Global Relay, Telemessage, CellTrust, and LeapXpert.
• Experience implementing such tools/platforms – either in an advisory role or directly in an IT or compliance capacity – within the IT infrastructure of a financial services firm.
• Broad technical acumen, particularly around IT-related policies & procedures, such asemail archiving systems, Mobile Device Management (MDM) tools and related protocols, implementing security settings for email servers and related systems, etc.
• Excellent project management skills with the ability to handle multiple tasks simultaneously.
• Ability to lead team-oriented projects and tasks within a fast-paced environment.
• Advanced decision-making and problem-solving skills under pressure, as well as a strong attention to detail.
• Strong work ethic, eagerness for continued development, and motivation to succeed.
• Ability to interact confidently with senior team members and clients.
• Ability to learn and demonstrate new technologies and workflows.
• Excellent communication skills, both written and verbal.

Preferred Qualifications

• Relevant InfoSec or similar qualifications or experience may be helpful, but not necessary.
• Prior exposure or experience addressing FINRA or SEC-related regulatory requests or requirements (ideal, but not required).

Physical and Mental Job Qualifications

• Must be able to sit for long period of time
• Must be comfortable to work in a remote and/or hybrid environment
• Must be flexible to work outside of the 8:30am – 5:30pm business hours if needed
• Must be flexible to travel 

Additional Information

Some of the Benefits We Have Include
J.S. Held understands all of our employees are people and sometimes life needs flexibility.  We work to always provide an environment that best supports and suits our team’s needs.

• Our flexible work environment allows employees to work remotely when needed
• Generous Annual Leave Policy
• Comprehensive Medical Insurance

A reasonable estimate of the salary range for this role is $100k - $150k. Any offered salary range is based on a wide array of factors including but not limited to skillset, experience, training, location, scope of role, management responsibility, etc.

Other Duties
Please note this job description is not designed to cover or contain a comprehensive listing of activities, duties, or responsibilities required of the employee for this job. Duties, responsibilities, and activities may change at any time with or without notice.

By submitting your application, you acknowledge that you have read the J.S. Held Online Privacy Notice and hereby freely and unambiguously give informed consent to the collection, processing, use, and storage of your personal information as required and described therein. California residents can click here to learn more about the personal information we collect and here to learn about additional privacy rights that may be available.

Please explore what we’re all about at www.jsheld.com.

EEO and Job Accommodations
We embrace diversity and our commitment to building a team and environment that fosters professional and personal enrichment is unwavering. We are greater when we are equal!
J.S. Held is an equal opportunity employer that is committed to hiring a diverse workforce. All qualified applicants will receive consideration for employment without regard to sex, gender identity, sexual orientation, race, color, religion, national origin, disability, protected Veteran status, age, or any other characteristic protected by law.

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