Part-Time SEC Compliance Consultant (1099 Contractor)

Part-Time SEC Compliance Consultant (1099 Contractor) About NextReg Compliance NextReg Compliance is a leader in SEC compliance services for independent investment advisors, offering flexible, remote opportunities and cutting-edge technology integration. Key Responsibilities • Build and maintain strong client relationships. • Review and update written policies, procedures, and codes of ethics (Rule 206(4)-7). • Draft and customize compliance manuals to meet current regulations. • Conduct annual reviews and mock audits. • Prepare, review, and file regulatory documents (ADV, PF, 13F, NPX). • Assist clients with compliance testing and surveillance. • Oversee managed services (Communications, Marketing Reviews, Training). Required Qualifications • Bachelor’s degree in Finance, Business, Law, or related field. • 3-5 years of direct, hands-on SEC compliance experience (RIA or consulting firm). • Comprehensive knowledge of Investment Advisers Act of 1940 and SEC regulations. • Track record managing ADV filings and annual reviews. • Strong desire to automate and improve processes. Desired Skills • Interest in leveraging AI for compliance/technology innovation. • Exceptional attention to detail. • Analytical, clear communicator (written and verbal). • Independent, organized, proactive. • High ethical standards. Position Details • 1099 Independent Contractor, part-time (~20 hrs/week; flexible, remote). • Competitive hourly rate ($40–$65/hr, commensurate with experience). • Opportunity to grow into full-time as client needs expand. To Apply: Submit resume and brief cover letter to [email protected] Job Types: Part-time, Contract Pay: $4,000.00 - $5,000.00 per month Expected hours: No less than 20 per week Experience: • SEC compliance : 3 years (Preferred) Work Location: Remote Apply tot his job Apply To this Job