Compliance Consultant Job at Axiom Law

Compliance Consultant

We are looking for a detail-oriented Compliance Consultant to join our team in P...

Location

United States , Pasadena

Salary:

Not provided

Robert Half

Expiration Date

Until further notice

Requirements

Bachelor's degree from an accredited institution
At least 2-4 years of relevant experience in regulatory, legal, or research compliance roles
High proficiency in Microsoft Office, particularly Excel
Strong analytical and problem-solving abilities
Excellent communication skills, both written and verbal
Ability to work independently and adapt to changing priorities
Familiarity with document redaction and SharePoint administration
Detail-oriented with the ability to manage multiple tasks simultaneously

Job Responsibility

Conduct thorough reviews of compliance-related documents to ensure quality and accuracy
Prepare documentation for submission to regulatory agencies, ensuring all requirements are met
Monitor and track the status of documents, providing regular updates to project managers
Analyze conflict of interest disclosures and report findings to the compliance manager
Perform monitoring activities by comparing outcomes to established policies and source documents
Develop reports and communications to alert leadership about key risks and compliance issues
Utilize tools such as Microsoft Excel and SharePoint to manage compliance-related data effectively
Participate in training sessions and conferences to stay updated on compliance standards
Collaborate with team members and stakeholders to address compliance challenges and implement solutions
Support risk monitoring initiatives by creating detailed reports and actionable insights

What we offer

medical, vision, dental, and life and disability insurance
eligible to enroll in our company 401(k) plan
free online training

Compliance Consultant – Advertising Compliance

We are seeking candidates with experience in advertising review and/or advertisi...

Location

United States , West Des Moines; Sioux Falls

Salary:

49628.00 - 93052.00 USD / Year

Sammons Financial Group

Expiration Date

Until further notice

Requirements

Bachelor's Degree business or related field preferred or equivalent business experience
3-4 years' relevant compliance, internal audit or other equivalent experience
Working knowledge of life and annuity products, with specific knowledge of insurance company operations
Ability to make sound and proper decisions by applying personal knowledge of guidelines, product information and personal professional judgement in review of assigned materials
Excellent interpersonal and customer service skills
Strong analytical solving skills, including the ability to accumulate, organize, and assimilate large amounts of information
Excellent attention to detail and accuracy
including proofreading skills
Ability to manage multiple tasks simultaneously and manage competing priorities
Ability to work independently and be a team player by demonstrating flexibility, understanding of other positions, providing constructive and relevant input to discussions

Job Responsibility

Receive, review, and research applicable state and federal regulations to ensure all regulatory requirements are incorporated into company policies and practices for both Life and Annuity
Partner with and provide subject matter expertise to Sr. Compliance Consultants, Team Advisor or Manager with the receipt, review, research, investigation of and response/preparation to regulatory agencies and client initiated complaints of small to medium scope as assigned by manager
Assist compliance senior management in all aspects of the compliance function related to developing and implementing policies, procedures and controls
conducting reviews of compliance processes and operations
ensuring implementation of any required corrective actions
managing projects
developing and implementing systems to automate processes and procedures to enhance efficiencies
Develop and maintain good relationships with both internal and external customers by handling tasks in a timely and professional manner
Research and address/resolve Red Flag issues
Communicate and train appropriate employees regarding new laws and regulations for both Life and Annuity

What we offer

Comprehensive health coverage for you and your family, including Medical, Dental, Vision, HSA & FSA options, and term life insurance
Competitive compensation with a performance-based incentive program tied to clear goals and individual and/or company success
Invest in your future with our 100% company-funded Employee Stock Ownership Plan (ESOP), plus automatic enrollment in our 401(k)
Work–life balance that means something
Friday afternoons off year-round, generous paid time off, and paid holidays
Commit to your growth with paid development time, tuition reimbursement, and professional development opportunities across industry, individual, and leadership programs
Make an impact beyond the workplace through volunteer time off, and our company nonprofit matching gift program, supporting the causes that matter most to you
An ownership culture that inspires
join a connected, values-driven workplace where employees take accountability, support one another, and are empowered to do their best work—together shaping our future shared success

Fulltime

Senior Cyber Risk & Compliance Consultant

Location

United Kingdom , Glasgow or Reading

Salary:

Not provided

FSP

Expiration Date

Until further notice

Requirements

Extensive experience of designing, leading and delivering cyber governance, risk and assurance outcomes, with a proven track record of successfully leading GRC and security assurance initiatives
Strong knowledge of recognised cyber security frameworks and standards, including ISO/IEC 27001, NIS Directives, NIST, and UK Government Functional Standards, with demonstrable experience aligning security controls to MOD requirements such as DEFSTAN 05-138, JSP 440, JSP 604 and Defence Cyber Resilience policies
Experienced in applying UK Government security and assurance frameworks, including GovAssure, the Cyber Assessment Framework (CAF), Defence Cyber Certification (DCC) and Government Standard (GovS) 007
Confident communicator, able to clearly articulate cyber risk and the value of security investment to senior leaders, while mentoring and guiding teams to deliver high-quality outcomes
Hold a recognised ISO/IEC 27001 Lead Implementer or Lead Auditor certification, alongside other relevant academic or professional qualifications (e.g. MSc in Cyber Security or related specialism, CISM, CISSP, PCIRM)
Hold, or be working towards, Principal or Chartered Cyber Security Professional (ChCSP) status
Eligible to work in the UK and able to obtain and maintain UK security clearances

Job Responsibility

Lead cyber governance, risk and compliance engagements, with primary focus on achieving certification or standards alignment to ISO27001, including gap assessments, strategy and planning, implementation support, audit preparation and pre and post certification support
Engage with clients to understand their wider threat landscape and business context, conducting risk and compliance assessments against other recognised frameworks and standards (e.g. NIST, SOC 2, DefStan)
Design, review and advise on the implementation and adoption of information security policies, standards, procedures and frameworks
Lead cyber and third-party risk assessments, evaluate supplier security posture, and provide risk-based recommendations for supplier selection and oversight
Identify control gaps, document findings, and track remediation activities to support assurance and audit outcomes
Produce clear, concise risk and compliance reports for executive and C-suite stakeholders, including prioritised mitigation strategies and improvement roadmaps
Contribute to thought leadership and continuous improvement by staying current with industry developments and sharing knowledge across the cyber security community
Demonstrate strong communication, stakeholder management and mentoring skills, upholding the highest standards of integrity and professionalism

What we offer

Collaborative and supportive environment
Tools and opportunity to do work you can be proud of
Chance to work alongside some of the best people in the industry
Hybrid working
Industry leading coaching and mentoring

Fulltime

Compliance Consultant - Futures Commission Merchant

Our client is seeking a compliance and surveillance analyst with 2 to 5 years of...

Location

United States , New York

Salary:

Not provided

Robert Half

Expiration Date

Until further notice

Requirements

2–5 years of compliance or trade surveillance experience at an FCM, Broker-Dealer, or regulatory body (FINRA/NFA)
Solid understanding of NFA compliance rules or FINRA securities regulations
Series 3 or Series 7 license is a strong plus
Analytical mindset with the ability to spot trading anomalies and document investigation findings clearly

Job Responsibility

Assist the CCO in preparing timely responses to NFA and CFTC inquiries, audits, and routine exams
Monitor daily trading activity to detect and investigate potential market abuses, wash trading, or spoofing
Update, refine, and maintain the FCM’s written supervisory procedures to match evolving crypto-derivatives regulations
Create and deliver regulatory compliance training modules for internal staff and associated persons

What we offer

Medical, vision, dental, and life and disability insurance
401(k) plan

Compliance Consultant - Exchange Surveillance

Our client is seeking a market regulation and compliance consultant with approxi...

Location

United States , New York

Salary:

Not provided

Robert Half

Expiration Date

Until further notice

Requirements

Around 3 to 5 years of specialized experience in market regulation, trade surveillance, or transaction monitoring at a DCM, DCO, or crypto exchange
Deep knowledge of CFTC market surveillance rules
Direct experience operating institutional surveillance software (e.g., Aventus, Eventus, Nice Actimize)
Strong investigative skills with specific experience analyzing order books, trade logs, and market data

Job Responsibility

Manage real-time and T+1 market surveillance alerts
investigate, document, and clear or escalate suspicious activity
Interface directly with the NFA Market Regulation department to coordinate trade surveillance data, review audits, and manage regulatory loops
Support the CCO in ensuring the exchange continuously adheres to CFTC Core Principles governing designated contract markets and clearing organizations

What we offer

Medical, vision, dental, and life and disability insurance
401(k) plan

Fulltime

IT Risk and Compliance Consultant

Ryanair Labs are currently recruiting for an IT Risk and Compliance Consultant t...

Location

Ireland , Dublin

Salary:

Not provided

Ryanair - Europe's Favourite Airline

Expiration Date

Until further notice

Requirements

Bachelor's degree in IT, Computer Science, Cybersecurity, or a related field.
4+ years of relevant experience in IT risk, compliance or security, with hands-on work in PCI DSS / ISO27001 / NIST, and at least 3 years supporting SOX IT control activities.
Strong understanding of IT general controls, cloud technologies, IAM, and change/release processes.
Experience working with internal and external auditors.
Strong communication and reporting skills, with the ability to work effectively with technical teams.
One or more relevant certifications such as CISA, CISSP, CCSP, CISM, CRISC, PCI ISA/QSA, or PCI-P is required.

Job Responsibility

Lead and maintain our PCI DSS compliance programme, including control operations, evidence management, audit coordination and remediation support.
Work closely with internal teams and QSAs to ensure PCI DSS requirements are embedded into systems, processes and technical designs.
Support SOX IT control activities and lead the implementation of new controls where required.
Provide practical advice to IT and engineering teams on control design, risk mitigation and compliance best practices.
Perform continuous monitoring and ongoing risk assessments to ensure controls remain effective.
Maintain clear, concise compliance documentation, policies and procedures.

What we offer

Competitive salary
Discounted and unlimited travel to over 250 destinations
Defined Contribution Pension Scheme – Matched up to 5% or €5,000
Death in Service Benefit – Up to 2 times of annual basic salary
20 Days Annual Leave – Increasing to 22 days after 12 months and 25 days after 3 years of continuous service.
Option for up to 5 additional unpaid leave days per year
Cycle 2 Work Scheme
Unrivalled career progression

Fulltime

Senior Compliance Consultant

This is a long-term contract position within the financial services industry, of...

Location

United States , Minneapolis

Salary:

Not provided

Robert Half

Expiration Date

Until further notice

Requirements

Active Certified Financial Planner (CFP) designation
Bachelor’s degree in finance, accounting, economics, or a related field
Minimum of 7 years of experience in financial planning or advisory roles
Proficiency in Excel, including advanced formulas
In-depth knowledge of financial compliance and regulatory requirements
Demonstrated experience in cross-functional project management
Strong communication skills, with the ability to collaborate effectively in virtual environments
High level of empathy and adaptability, particularly in dynamic or evolving settings

Job Responsibility

Act as a subject matter expert in financial planning, translating organizational decisions into effective, technology-supported advice frameworks
Collaborate closely with product, design, and engineering teams to review prototypes, refine planning logic, and optimize user experiences
Assess the quality of financial advice, ensuring compliance with fiduciary standards and financial planning regulations
Provide actionable feedback to enhance product workflows, methodologies, and planning strategies
Support pilot programs and testing initiatives by delivering comprehensive financial planning in controlled environments
Develop and contribute best practices related to financial planning, behavioral finance, and coaching techniques
Ensure thorough documentation and adherence to compliance requirements and planning assumptions
Stay informed on industry trends, regulatory changes, and high standards to guide decision-making and product development
Foster effective communication across virtual, cross-functional teams to drive project success

What we offer

medical
vision
dental
life and disability insurance
company 401(k) plan

Parttime

Senior Data Protection and Compliance Consultant

We are seeking a highly skilled Senior Data Protection & Compliance Consultant w...

Location

Canada , Toronto

Salary:

Not provided

HSO

Expiration Date

Until further notice

Requirements

5–8+ years in consulting or enterprise data governance, protection, compliance, or security roles
Deep, hands-on expertise with Microsoft Purview across governance, protection, and compliance solutions
Strong understanding of major compliance regulations (GDPR, HIPAA, ISO, NIST)
Experience leading client workshops, assessments, and technical implementation engagements
Ability to translate complex compliance obligations into practical controls for client environments
Strong communication, facilitation, and stakeholder-management skills

Job Responsibility

Guide clients in administering and optimizing the Microsoft Purview Data Map, including data scanning, classification, and cataloging of enterprise assets
Support clients in establishing metadata management, business glossary standards, and stewardship processes
Lead client engagements to implement data lineage and conduct impact analysis
Conduct data estate maturity assessments for clients and provide recommendations to improve governance controls
Advise clients on sensitive data identification and classification strategies using Purview classifiers
Configure and deploy sensitivity labels, label policies, and automatic labeling tailored to client business needs
Assist clients with Information Rights Management (IRM) and encryption configurations
Design and implement Data Loss Prevention (DLP) solutions across Microsoft 365 workloads
Support clients in defining and operationalizing retention and records management processes
Lead client workshops and implementations for eDiscovery (Standard & Premium)

Fulltime

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Compliance Consultant

Job Description

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