Regulatory Compliance & Oversight Consultant RP in Cleveland at CBIZ

Date Posted: 1/1/2022

Job Snapshot

Job Description

CBIZ National Advisory uses vast expertise in operational, transactional, legal, valuation, risk management, and other needs to enhance organizations' strategy. We deliver our financial advisory services with personalized, attentive service that helps stabilize where businesses are and anticipate what may be coming next.

Businesses routine functions consume enough capacity on their own. When opportunities, compliance and operational needs or challenges emerge, demands can stretch leadership teams to the limit. Organizations that enlist additional technical expertise may find it easier- and more advantageous - to navigate the new while managing the routine.

Our National Advisory Service Offerings include, Public Company Readiness, Risk Advisory, Valuation, Private Equity Advisory, Forensic Accounting, and Corporate Recovery. 

CBIZ has been honored to be the recipient of several national recognitions:

  • 2020 Best Workplaces in Consulting & Professional Services by Great Place to Work®
  • 2020 Workplace Excellence Seal of Approval by the Alliance for Workplace Excellence
  • Top 101 2020 Best and Brightest Companies to Work For in the Nation
  • 2020 Healthiest 100 Workplace in America
  • 2021 Top Workplaces USA

Job Purpose/Objective

•    Working under the strategies and direction of the Chief Compliance Officer, provide FINRA and SEC consulting, compliance and remediation expertise in compliance matters related to broker-dealers, Registered Investment Advisory Firms, fund managers and related financial industry firms across all CBIZ RIS offices
Essential Functions and Primary Duties
•    Develop, initiate, maintain, revise compliance policies and procedures for the general operation of the Broker Dealer and Registered Investment Advisor Compliance programs
•    Works with various offices to ensure policies and procedures are used to prevent illegal, unethical, or improper conduct
•    Working with Compliance Manager, respond to alleged violations of rules, regulations, policies, procedures, and standards of conduct
•    Working with the Compliance Manager, develop and maintain all compliance policies and procedures
•    Coordinate with external resources to conduct independent audits and reviews 
•    Support communication and training programs
•    Promote awareness of Standards of Conduct and understanding of new and existing compliance issues and related policies and procedures
•    Monitor the performance of compliance programs and related activities on a continuing basis, taking appropriate steps to improve effectiveness
•    Identify potential areas of compliance vulnerability and risk; develop and implement corrective action plans for resolution of problematic issues, and provide general guidance on how to avoid or deal with similar situation in the future
•    Assist with the review and approval of Registered Representative/IAR correspondence, e-mail, sales literature and advertising for compliance
•    Maintain central repository of all products and product contacts in RPS systems
•    Maintains all product selling agreements and coordination of ongoing agreement updates
•    Develop and implement workflow process with a focus on improvements through automation
•    Additional responsibilities as assigned

Preferred Qualifications 

•    Bachelor's degree

Qualifications Required

•    High School Diploma or GED required
•    At least three years of professional, broker-dealer and registered investment advisory compliance experience
•    Possesses comprehensive knowledge of industry and professional concepts, principles, practices, and procedures
•    Possesses comprehensive knowledge of pertinent laws, regulations, and professional standards
•    Proficient use of applicable technology
•    Proficient use of MS Office Suite (Outlook, Word, Excel, PowerPoint) and enterprise communication and travel solutions (Concur, Skype)
•    Experience performing work that requires initiative and leadership skills
•    Pursuing or attained the Series 7 and 24 licenses
•    Ability to anticipate and elicit customer needs
•    Ability to self-learn and develop business and technical knowledge quickly 
•    Motivated team player with demonstrated interpersonal skills
•    Work professionally with Advisors, Regulators, and Leadership
•    Comfortable working with quick turnaround times and deadlines
•    Excellent communication skills with the ability to effectively interact with individuals at all levels of the organization

Service Delivery

•    Capacity to adapt and work effectively within a variety of situations, and with various individuals or groups
•    Display innovative ideas and solutions and capacity to identify and eliminate redundant work efforts and inefficient processes


•    Delivers service according to relevant standards and policies

Reporting Relationships

•    Ability to travel as necessary

Problem Solving 

•    Consistently works to understand and meet constituents' needs

Decision-Making and Consequences of Error

•    Minimal requirement to guide or advise others;  May need to explain procedures to newer staff
•    Work is assigned within a defined framework;  latitude is given to set priorities of the core work; supervisor is apprised of progress toward completion, but accuracy of the work product is usually assumed; limited direction is necessary to complete core work assignments
•    Overall work is relatively homogenous, but job components require the application of varying skill sets
•    Problems may vary, though the approach is generally well-defined; applies learned knowledge, process analysis, or established policies to resolve problems

Nature and Purpose of Contacts

•    Guidelines are available in the form of clearly defined procedures and standard practices
•    Decisions require the exercise of judgment in selecting the appropriate procedure or course of action
•    Inappropriate decisions or errors would normally cause minor delays and cost increments
•    Deficiencies would not affect the completion of programs or projects important to the business
•    Communication involves the exchange of information that requires explanation and/or interpretation
•    Communication involves communicating technical information and providing advice


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CBIZ is an affirmative action-equal opportunity employer and reviews applications for employment without regard to the applicant’s race, color, religion, national origin, ancestry, age, gender, gender identity, marital status, military status, veteran status, sexual orientation, disability, or medical condition or any other reason prohibited by law. If you would like more information about your EEO rights as an applicant under the law, please visit these following pages EEO is the Law and EEO is the Law Supplement.