Investment Compliance Expert - mNPI Detection | AI Model Training

About the Role

We're seeking experienced investment compliance professionals with deep expertise in material non-public information (mNPI) detection, investment advisory compliance, and information barrier frameworks to provide specialized consulting services for AI model training initiatives.

This opportunity focuses on leveraging your compliance expertise to train and validate AI models that identify potential mNPI violations, market manipulation indicators, and investment advisory compliance breaches through flexible, hours-based consulting that accommodates your schedule.

Key Responsibilities

• Expert Advisory Services: Provide specialized guidance on identifying mNPI patterns in financial communications and investment advisory compliance scenarios
• Compliance Knowledge Transfer: Share your expertise in recognizing subtle compliance violations, regulatory edge cases, and real-world mNPI scenarios
• Validation & Review: Evaluate compliance detection methodologies and provide expert feedback on regulatory interpretation accuracy
• Case Study Development: Create comprehensive examples of compliance violations and mNPI scenarios based on your professional experience
• Regulatory Insight: Advise on SEC, FINRA, and global regulatory requirements interpretation for automated compliance systems
• Best Practices Consultation: Guide the development of compliance detection frameworks based on industry-leading practices.

Required Qualifications

• 7+ years investment compliance experience with specific focus on mNPI detection, information barriers, or investment advisory compliance
• Professional certifications (Series 7, 63, 66, CAMS, or equivalent compliance credentials preferred
• Proven track record at investment banks, asset managers, or regulatory bodies (SEC, FINRA, CFTC)
• Deep regulatory knowledge of Regulation FD, Investment Advisers Act, insider trading laws, and information barrier requirements
• Demonstrated ability to identify subtle compliance violations and mNPI scenarios in real-world contexts
• Interest in shaping the future of compliance technology through expert consultation

Preferred Experience

Investment Compliance:

• SEC examination experience, regulatory reporting, and compliance program development
• Information barrier implementation, personal trading monitoring, and conflict management
• Experience with compliance monitoring platforms and surveillance systems

mNPI Detection Expertise:

• Real-world experience identifying material non-public information across various communication channels
• Understanding of materiality thresholds, disclosure timing requirements, and market impact assessments
• Experience with mosaic theory applications and research compliance frameworks

Industry Experience

• Investment banking, asset management, or registered investment advisor backgrounds
• Regulatory examination or enforcement experience
• Experience with current RegTech trends and compliance automation tools

Contract Terms

• 100% Remote - Work from anywhere at your convenience
• Flexible Engagement - Contribute based on your availability (typically 10-15 hours/week)
• Premium Compensation - Competitive rates recognizing your specialized expertise
• Strategic Impact - Your insights directly influence the evolution of compliance technology

How to Apply

Submit your resume and cover letter highlighting:

• Your 7+ years of investment compliance experience with specific focus on mNPI detection
• Examples of complex compliance scenarios you've navigated successfully
• Your approach to identifying subtle violations that automated systems might miss
• Any experience with compliance technology or interest in RegTech innovation
• Your availability for flexible consulting engagements

Join us in defining the future of investment compliance. Your expertise will help create more effective tools for the entire compliance community.

Passionate about investment compliance, mNPI detection, and the future of regulatory technology? We'd love to hear from you