We're Hiring

Managed Services

ABOUT US
Salus GRC is a next generation Governance, Risk and Compliance (“GRC”) advisory firm.  We provide Regulatory Compliance and Cybersecurity Risk consulting services for investment advisers registered with the Securities and Exchange Commission (“SEC”) including private fund managers, firms registered with the Commodity Futures Trading Commission (“CFTC”) and firms registered as broker-dealers with the Financial Industry Regulation Authority, Inc. (“FINRA”).
JOB DESCRIPTION
Salus GRC is seeking candidates for its Managed Services group who will assist our Regulatory Compliance team in completing critical client deliverables.  The ideal candidate will have (or an eagerness to develop) a deep understanding of financial services compliance regulations with experience in implementing many of the ongoing deliverables discussed below. 
Key Responsibilites
Among other tasks, Salus GRC’s Managed Services partners with Regulatory Compliance in completing the following for clients:
  • Electronic Communication and Social Media Reviews: Review client electronic communications and social media utilizing customized search strategies to ensure compliance with SEC regulations and internal policies and procedures.
  • Compliance Platform Management: Assist in the management of various compliance platforms in assisting clients with their code of ethic responsibilities.
  • Personal Trading Reviews: Coordinate with Regulatory Compliance to review the personal trading activity of clients.
  • Regulatory Filings: Prepare and submit required regulatory filings in coordination with Regulatory Compliance on behalf of clients to the SEC and other regulators, ensuring accuracy and timeliness.
  • Marketing Material Reviews: Collaborate with Regulatory Compliance to review and update client marketing materials to align with SEC regulations and industry best practices.
  • Expert Network Call Monitoring: Assist clients by chaperoning selected expert network calls to monitor for risks involving the transmission of material nonpublic information and related client policies.  
QUALIFICATIONS
  • Bachelor's degree in Finance, Economics, Business, Law, or a related field. 
  • Knowledge or ability and willingness to learn SEC regulations, the Advisers Act, and related financial industry compliance requirements.
  • Strong analytical, research, organizational and problem-solving skills with attention to detail.
  • Excellent communication and interpersonal skills to work effectively with clients and colleagues.
  • Ability to manage multiple tasks, meet deadlines, and adapt to a dynamic and evolving regulatory environment.
  • High ethical standards, discretion, and the ability to handle sensitive information with confidentiality.
HOW TO APPLY
If you are a detail-oriented and knowledgeable legal or compliance professional with a passion for and desire to help our clients meet their regulatory compliance obligations, we invite you to apply to Salus GRC.Please submit your resume and a cover letter outlining your relevant experience and qualifications to hr@salusgrc.com.
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Regulatory Compliance

ABOUT US
Salus GRC is a next generation Governance, Risk and Compliance (“GRC”) advisory firm.  We provide Regulatory Compliance and Cybersecurity Risk consulting services for investment advisers registered with the Securities and Exchange Commission (“SEC”) including private fund managers, firms registered with the Commodity Futures Trading Commission (“CFTC”) and firms registered as broker-dealers with the Financial Industry Regulation Authority, Inc. (“FINRA”).
JOB DESCRIPTION
Salus GRC is seeking candidates for its Regulatory Compliance team who will assist our clients in meeting their regulatory obligations. The ideal candidate will have (or an eagerness to develop) a deep understanding of financial services compliance regulations and a strong commitment to upholding compliance standards in the financial industry.
Key Responsibilites
Among other tasks, Salus GRC’s Regulatory Compliance team performs the following on behalf of its clients:
  • Compliance Oversight: Assist clients in ensuring they comply with SEC regulations, including the Investment Advisers Act of 1940 by conducting compliance reviews and assessments.
  • Regulatory Reporting: Prepare and submit required regulatory filings and disclosures on behalf of clients to the SEC and other regulators, ensuring accuracy and timeliness.
  • Policy Development: Collaborate with clients to develop, review, and update compliance policies, procedures, and controls to align with SEC regulations and industry best practices.
  • Regulatory Examinations: Assist clients in preparing for regulatory examinations and manage the response to regulatory examination findings.
  • Training and Education: Develop training programs to clients and their staff to enhance their understanding of compliance requirements and best practices.
  • Technology Utilization: Leverage proprietary compliance software and tools to streamline compliance processes and reporting.
QUALIFICATIONS
  • Bachelor's degree in Finance, Economics, Business, Law, or a related field. Advanced degrees (e.g., JD or MBA) or industry certifications (e.g., CPA, CFA, CFE, or relevant compliance certifications) are a plus.
  • Knowledge or ability and willingness to learn SEC regulations, the Advisers Act, and related financial industry compliance requirements.
  • Strong analytical, research, organizational and problem-solving skills with attention to detail.
  • Excellent communication and interpersonal skills to work effectively with clients and colleagues.
  • Ability to manage multiple tasks, meet deadlines, and adapt to a dynamic and evolving regulatory environment.
  • High ethical standards, discretion, and the ability to handle sensitive information with confidentiality.
HOW TO APPLY
If you are a detail-oriented and knowledgeable legal or compliance professional with a passion for and desire to help our clients meet their regulatory compliance obligations, we invite you to apply to Salus GRC.Please submit your resume and a cover letter outlining your relevant experience and qualifications to hr@salusgrc.com.
Send Us An Email

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We welcome the opportunity to dig deeper into your GRC needs and challenges and explore how Salus GRC’s new revolutionary approach can help. 

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Or reach us at:
Inquiries@salusgrc.com
hr@salusgrc.com
475-888-4006