Cannabis Compliance Consultant Jobs

Description

WSLCB Vision
Safe communities for Washington State
Mission
Promote public safety and trust through fair administration, education, and enforcement of liquor, cannabis, tobacco, and vapor laws

This position has an essential function of in person interaction with others

Who we are
The mission of the Washington State Liquor and Cannabis Board (WSLCB) is to promote public safety and trust through fair administration, education and enforcement of liquor, cannabis, tobacco, and vapor laws. We search for people who demonstrate a strong work ethic, excellence in customer service, partnering and teamwork, and quality performance.
We want to create a culture that fosters excellence in customer service, open and honest communication, transparency and accountability, data driven decisions, and business initiated process improvement.

Our commitment to DEIB
The Liquor and Cannabis Board (LCB) strives to promote
Diversity, Equity, Inclusion and Belonging (DEIB)
in all aspects of our workforce.
It is our mission to build, educate, and inspire an inclusive workforce that recognizes, respects, and celebrates diversity in the workplace. We are committed to maintaining a thriving culture where employees feel safe and accepted regardless of education, background or belief. As a WSLCB team member, you will have opportunity to join statewide business resource groups (BRGs) such as, Rainbow Alliance and Inclusion Network, Veteran Employee Resource Group, Latino Leadership Network, Blacks United in Leadership and Diversity, Disability Inclusion Network, Washington Immigrant Network and Hawaiians, Asians, and Pacific Islanders Promoting an Empowerment Network.
Your opportunity at a glance:
Representing the Washington State Liquor and Cannabis Board (WSLCB); the Compliance Consultant provides technical assistance and education in support of the state’s licensed cannabis industry. The position consults with cannabis producer, processor, retailer, researcher, and transporter licensees, and registered cooperative members and certified laboratory staff, to help them understand the RCWs and WACs that regulate the cannabis industry and attain voluntary compliance.
Supports licensees in operating their businesses in compliance with WSLCB rules and regulations. Seeks to obtain low-level voluntary compliance through education and outreach before greater corrective actions becomes necessary. May issue low-level verbal warnings and Notices to Correct when appropriate.
As a compliance consultant, this position acts independently to plan, prioritize, develop, and implement education and community outreach activities that help and support the cannabis industry. This position, in conjunction with their supervisor’s input, sets and accomplishes educational priorities. Incumbents resolve complex problems and have latitude to determine methods and procedures to complete their work. Duties may include complex activities such as planning and/or facilitating workshops attended by industry members, assisting in the development of educational/outreach materials for the cannabis industry, preparing public involvement plans, resolving and establishing a community outreach strategy, and assisting in developing policies and procedures.
Works collaboratively with other internal stakeholders such as Licensing Division and Enforcement and Education Division commissioned staff team members to ensure consistency of messaging and the interpretation of rules and laws that influence the cannabis industry.
WSLCB provides a modern work environment and excellent benefits including:

• Training and career development programs
• Tuition reimbursement
• Flexible work schedules
• Telecommuting opportunities
• Generous wellness program
• Onsite exercise facility
• Active and engaging diversity program
• Infant at Work program
• Organization's commitment to your personal health and well-being.
• Work/life balance
• Free parking
• A comprehensive benefits package

Duties

Some of your primary duties will include:

• Educates and engages licensees, the public, and other stakeholders in addressing issues related to our mission by providing licensee support and education.
• Responds to verbal and written inquiries concerning cannabis laws, regulations and licensing.
• Develops intervention strategies designed to achieve immediate correction and long-term compliance.
• Delivers clear, concise, accurate and factual summaries of results of inspections both orally and in writing.
• Assists in the development and implementation of an education plan and community outreach strategies including the preparation of the educational/outreach materials.
• Participates in comprehensive compliance inspections to ensure licensees, premises, records, advertising, labeling and devices are within approved minimum guidelines and licensees are in compliance with cannabis Laws and Regulations.
• Conducts pre-scheduled field visits to licensed producers, processors, and retailers.
• Assists the commissioned team members with analyzing and responding to complaints on licensed locations.
• Organizes and conducts scheduled inspections of licensed establishments, registered cooperatives, and certified laboratories to check for compliance with state laws.
• Completes final inspections in a timely manner. Communicates final inspection status and pre-licensure issues with Licensing staff.
• Conducts cannabis license briefings with applicants. Clearly communicates the requirements of the appropriate RCW’s and WAC’s.
• Assists with site verification of discontinued businesses.
• Reviews licensed locations monthly to verify cannabis licenses are current and in good standing. Contacts licensee prior to license expiration per written protocol.
• Testifies in court or at administrative hearings when needed.
• Completes comprehensive reports and data entry into the agency’s record management system.
• Uses a computer terminal to access driver licenses, criminal records, various agencies files, ACCESS, and vehicle registration databases to identity subject for Enforcement Officers.
• Compiles information to be used in bulletins, articles, and publications for the benefit of the agency and stakeholders.
• Composes and/or completes memoranda/correspondence, reports summarizing documentation pertaining to identified topics.
• Plans, conducts and/or attends conferences and workshops that contribute to the development and improvement of the unit or agency.
• Other duties as assigned

Qualifications

Required Qualifications:

• Bachelor’s Degree in business administration, public administration, criminal justice, police science or a closely related field AND two (2) years of experience working with a regulated industry providing education and guidance to industry members on rules and laws with the goal of achieving voluntary compliance.

OR

• A combination of college work and experience as described above to constitute the equivalent of six years of experience.

OR

• A high school diploma or GED and six years of experience as described above.

OR

• One year of experience as an LCB Enforcement Officer.

In addition, must have demonstrated the following abilities:

• Ability to write clearly and succinctly.
• Ability to orally communicate effectively on a one-on-one basis and in a group setting.
• Able to successfully read, understand, and interpret policies and procedures.
• This position requires a valid unrestricted Washington State driver's license - corrective lenses excluded.

Preferred/Desired Qualifications:

• Understanding of the WSLCB scope of regulatory authority and jurisdiction.
• Able to communicate effectively and collaboratively with stakeholders with inherently diverse interests.
• Demonstrated ability to develop and make effective oral presentations for small groups.
• Demonstrated ability to coordinate workshops and/or trainings
• One or more years’ experience in consulting and/or interviewing to collect data and/or obtain statements.
• Demonstrated ability to deal effectively with conflict arising from regulatory inspections while maintaining positive customer service.
• Experience participating in administrative hearings, such as testifying.

Conditions of Employment:

• Must have permanent residency within driving distance of 45 miles of assigned duty station.
• Must be 21 years or older.
• Must undergo a full criminal background check, credit check, fingerprinting, sexual predator check and reference check.
• Have the physical ability to:
  
  • Employ the senses of sight (both day and night), touch, smell, and hearing while performing various job requirements.
  • Walk on uneven ground and over long distances, stand for extended periods of time, climb stairs.
  • Use a computer with Microsoft Suite software, including scheduling on a data base calendar and using the agency e-mail system.
• Must obtain and maintain a valid Washington driver's license prior to and during employment free of legal restriction that would require modification of a sate vehicle to comply.
• Successfully complete the WSLCB Field Training Program.

Applicants for employment with the Washington State Liquor and Cannabis Board should also be aware of RCW 66.08.080, which reads
, “No employee of the board shall have any interest, directly or indirectly, in the manufacture of liquor sold under this title, or derive any profit or remuneration from the sale of liquor, other than the salary or wages payable to him in respect of his office or position, and shall receive no gratuity from any person in connection with such business."
Applicants for employment with the Washington State Liquor and Cannabis Board should also be aware of RCW 69.50.351, which reads in part,
"No member of the Washington State Liquor and Cannabis Board and no employee of the state Liquor and Cannabis Board shall have any interest, directly or indirectly, in the producing, processing, or sale of cannabis, useable cannabis, or cannabis-infused products, or derive any profit or remuneration from the sale of cannabis, useable cannabis, or cannabis-infused products other than the salary or wages payable to him or her in respect of his or her office or position, and shall receive no gratuity from any person in connection with the business.”

Supplemental Information

HOW TO APPLY
PLEASE READ THE FOLLOWING INFORMATION CAREFULLY TO ENSURE YOU HAVE SUBMITTED THE REQUIRED MATERIALS TO BE CONSIDERED.
IMPORTANT: To be considered for this position, you MUST include the following, failure to do so will result in your application being disqualified:

• Completed online application.
• Current Resume.
• Letter of Interest describing how you meet the specific qualifications for the position.
• Three professional references to include a current or recent supervisor with email addresses and phone numbers.

**
A resume will not substitute for completing the "work experience" section of the application.
The information provided in your application and supplemental questionnaire must support your selected answers in the supplemental questions. Responses not supported in your application will disqualify you for consideration of employment from this recruitment.
Prior to a new hire, a background check including criminal record history will be conducted. Information from the background check will not necessarily preclude employment but will be considered in determining the applicant's suitability and competence to perform in the position.
COVID-19 VACCINATION
Per Governor Inslee’s Proclamation 21-14, state employees must be fully vaccinated against Covid-19. Please note medical or religious accommodation may be available, once an offer of employment is made. Special note that any offer of employment is contingent upon you providing verification of your vaccine status. No start date will be approved until you verify your status.
To further ensure public safety and in conjunction with our Governor's proclamation of stay home, stay healthy and current guidelines related to COVID-19, interviews at this time will be conducted by video or phone conference as part of our recruitment process.
Other
Applicants for employment with the Washington State Liquor and Cannabis Board should also be aware of RCW 66.08.080, which states in part: "No employee of the board shall have any interest, directly or indirectly, in the manufacture of liquor sold under this title, or derive any profit or remuneration from the sale of liquor, other than the salary or wages payable to him in respect of his office or position, and shall receive no gratuity from any person in connection with such business.
RCW 69.50.351, no member of the state liquor and cannabis board and no employee of the state liquor and cannabis board shall have any interest, directly or indirectly, in the producing, processing, or sale of cannabis, useable cannabis, or cannabis-infused products, or derive any profit or remuneration from the sale of cannabis, useable cannabis, or cannabis-infused products other than the salary or wages payable to him or her in respect of his or her office or position, and shall receive no gratuity from any person in connection with the business.
The Washington State Liquor and Cannabis Board is an equal opportunity employer and encourages applications from job seekers with diverse backgrounds. Honoring diversity, equity and inclusion means that as an agency, and as individuals, we are committed to ensuring that all employees enjoy a respectful, safe, and supportive working environment.
All qualified applicants will receive consideration for employment without discrimination based on sex, race, creed, religion, color, national origin, age, honorably discharged veteran or military status, sexual orientation including gender expression or identity, the presence of any sensory, mental, or physical disability, or the use of a trained dog guide or service animal by a person with a disability. You are welcome to include your name and gender pronouns in your application, to ensure we address you appropriately throughout the application process.
For questions about this recruitment, or to request reasonable accommodation in the application process, please email [email protected] or call
(360) 664.1674. For TTY service, please call the Washington Relay Service at 7-1-1 or 1-800-833-6384.

Apply for this job with State of Washington Liquor and Cannabis Board

Apply now →

By clicking the "Apply now" button, you'll be leaving Fazow and going to an external job application page for this company. Please research all companies before applying. When applying for jobs, you should NOT have to pay to apply. Fazow accepts no liability or responsibility as a consequence of any reliance upon information on external sites or in jobs listed on fazow.com.

Description

WSLCB Vision
Safe communities for Washington State
Mission
Promote public safety and trust through fair administration, education, and enforcement of liquor, cannabis, tobacco, and vapor laws

This position has an essential function of in person interaction with others

Who we are:
The mission of the

Washington State Liquor and Cannabis Board
(WSLCB) is to promote public safety and trust through fair administration and enforcement of liquor, cannabis, tobacco, and vapor laws. At the WSLCB we pride ourselves on creating the "wow" factor in everything we do. We search for people who demonstrate a strong work ethic, excellence in customer service, partnering and teamwork, and quality performance. We strive to be a great place to work by fostering a safe, open, inclusive and healthy work environment. We want to ensure that our organization is as diverse and inclusive as our great State of Washington.
We want to create a culture that fosters excellence in customer service, open and honest communication, transparency and accountability, data driven decisions, and business initiated process improvement.
Your opportunity at a glance:
Representing the Washington State Liquor and Cannabis Board (WSLCB); the Compliance Consultant provides technical assistance and education in support of the state’s licensed cannabis industry. The position consults with cannabis producer, processor, retailer, researcher, and transporter licensees, and registered cooperative members and certified laboratory staff, to help them understand the RCWs and WACs that regulate the cannabis industry and attain voluntary compliance.
Supports licensees in operating their businesses in compliance with WSLCB rules and regulations. Seeks to obtain low-level voluntary compliance through education and outreach before greater corrective actions becomes necessary. May issue low-level verbal warnings and Notices to Correct when appropriate.
As a compliance consultant, this position acts independently to plan, prioritize, develop, and implement education and community outreach activities that help and support the cannabis industry. This position, in conjunction with their supervisor’s input, sets and accomplishes educational priorities. Incumbents resolve complex problems and have latitude to determine methods and procedures to complete their work. Duties may include complex activities such as planning and/or facilitating workshops attended by industry members, assisting in the development of educational/outreach materials for the cannabis industry, preparing public involvement plans, resolving and establishing a community outreach strategy, and assisting in developing policies and procedures.
Works collaboratively with other internal stakeholders such as Licensing Division and Enforcement and Education Division commissioned staff team members to ensure consistency of messaging and the interpretation of rules and laws that influence the cannabis industry.
WSLCB provides a modern work environment and excellent benefits including:

• Training and career development programs
• Tuition reimbursement
• Flexible work schedules
• Telecommuting opportunities
• Generous wellness program
• Onsite exercise facility
• Active and engaging diversity program
• Infant at Work program
• Organization's commitment to your personal health and well-being.
• Work/life balance
• Free parking
• A comprehensive benefits package

Duties

Some of your primary duties will include:

• Educates and engages licensees, the public, and other stakeholders in addressing issues related to our mission by providing licensee support and education.
• Responds to verbal and written inquiries concerning marijuana laws, regulations and licensing.
• Develops intervention strategies designed to achieve immediate correction and long-term compliance.
• Delivers clear, concise, accurate and factual summaries of results of inspections both orally and in writing.
• Assists in the development and implementation of an education plan and community outreach strategies including the preparation of the educational/outreach materials.
• Participates in comprehensive compliance inspections to ensure licensees, premises, records, advertising, labeling and devices are within approved minimum guidelines and licensees are in compliance with marijuana Laws and Regulations.
• Conducts pre-scheduled field visits to licensed producers, processors, and retailers.
• Assists the commissioned team members with analyzing and responding to complaints on licensed locations.
• Organizes and conducts scheduled inspections of licensed establishments, registered cooperatives, and certified laboratories to check for compliance with state laws.
• Completes final inspections in a timely manner. Communicates final inspection status and pre-licensure issues with Licensing staff.
• Conducts marijuana license briefings with applicants. Clearly communicates the requirements of the appropriate RCW’s and WAC’s.
• Assists with site verification of discontinued businesses.
• Reviews licensed locations monthly to verify marijuana licenses are current and in good standing. Contacts licensee prior to license expiration per written protocol.
• Testifies in court or at administrative hearings when needed.
• Completes comprehensive reports and data entry into the agency’s record management system.
• Uses a computer terminal to access driver licenses, criminal records, various agencies files, ACCESS, and vehicle registration databases to identity subject for Enforcement Officers.
• Compiles information to be used in bulletins, articles, and publications for the benefit of the agency and stakeholders.
• Composes and/or completes memoranda/correspondence, reports summarizing documentation pertaining to identified topics.
• Plans, conducts and/or attends conferences and workshops that contribute to the development and improvement of the unit or agency.
• Other duties as assigned.

Qualifications

Required Qualifications:

• Bachelor’s Degree in business administration, public administration, criminal justice, police science or a closely related field AND two (2) years of experience working with a regulated industry providing education and guidance to industry members on rules and laws with the goal of achieving voluntary compliance.

OR

• A combination of college work and experience as described above to constitute the equivalent of six years of experience.

OR

• A high school diploma or GED and six years of experience as described above

OR

• One year of experience as an LCB Enforcement Officer.

In addition, must have demonstrated the following abilities:

• Ability to write clearly and succinctly.
• Ability to orally communicate effectively on a one-on-one basis and in a group setting.
• Able to successfully read, understand, and interpret policies and procedures.

Preferred/Desired Qualifications:

• Understanding of the WSLCB scope of regulatory authority and jurisdiction.
• Able to communicate effectively and collaboratively with stakeholders with inherently diverse interests.
• Demonstrated ability to develop and make effective oral presentations for small groups.
• Demonstrated ability to coordinate workshops and/or trainings
• One or more years’ experience in consulting and/or interviewing to collect data and/or obtain statements.
• Demonstrated ability to deal effectively with conflict arising from regulatory inspections while maintaining positive customer service.
• Experience participating in administrative hearings, such as testifying.

Conditions of Employment:

• Must have permanent residency within driving distance of 45 miles of assigned duty station.
• Must be 21 years or older.
• Must undergo a full criminal background check, credit check, fingerprinting, sexual predator check and reference check.
• Have the physical ability to:
  
  • Employ the senses of sight (both day and night), touch, smell, and hearing while performing various job requirements.
  • Walk on uneven ground and over long distances, stand for extended periods of time, climb stairs.
  • Use a computer with Microsoft Suite software, including scheduling on a data base calendar and using the agency e-mail system.
• Must obtain and maintain a valid Washington driver's license prior to and during employment free of legal restriction that would require modification of a sate vehicle to comply.
• Successfully complete the WSLCB Field Training Program.

Applicants for employment with the Washington State Liquor and Cannabis Board should also be aware of RCW 66.08.080, which reads
, “No employee of the board shall have any interest, directly or indirectly, in the manufacture of liquor sold under this title, or derive any profit or remuneration from the sale of liquor, other than the salary or wages payable to him in respect of his office or position, and shall receive no gratuity from any person in connection with such business."
Applicants for employment with the Washington State Liquor and Cannabis Board should also be aware of RCW 69.50.351, which reads in part,
"No member of the Washington State Liquor and Cannabis Board and no employee of the state Liquor and Cannabis Board shall have any interest, directly or indirectly, in the producing, processing, or sale of cannabis, useable cannabis, or cannabis-infused products, or derive any profit or remuneration from the sale of cannabis, useable cannabis, or cannabis-infused products other than the salary or wages payable to him or her in respect of his or her office or position, and shall receive no gratuity from any person in connection with the business.”

Supplemental Information

HOW TO APPLY
PLEASE READ THE FOLLOWING INFORMATION CAREFULLY TO ENSURE YOU HAVE SUBMITTED THE REQUIRED MATERIALS TO BE CONSIDERED.
IMPORTANT: To be considered for this position, you MUST include the following, failure to do so will result in your application being disqualified:

• Completed online application.
• Current Resume.
• Letter of Interest describing how you meet the specific qualifications for the position.
• Three professional references to include a current or recent supervisor with email addresses and phone numbers.

**
A resume will not substitute for completing the "work experience" section of the application.
The information provided in your application and supplemental questionnaire must support your selected answers in the supplemental questions. Responses not supported in your application will disqualify you for consideration of employment from this recruitment.
Prior to a new hire, a background check including criminal record history will be conducted. Information from the background check will not necessarily preclude employment but will be considered in determining the applicant's suitability and competence to perform in the position.
COVID-19 VACCINATION
Per Governor Inslee’s Proclamation 21-14, state employees must be fully vaccinated against Covid-19. Please note medical or religious accommodation may be available, once an offer of employment is made. Special note that any offer of employment is contingent upon you providing verification of your vaccine status. No start date will be approved until you verify your status.
To further ensure public safety and in conjunction with our Governor's proclamation of stay home, stay healthy and current guidelines related to COVID-19, interviews at this time will be conducted by video or phone conference as part of our recruitment process.
Other
Applicants for employment with the Washington State Liquor and Cannabis Board should also be aware of RCW 66.08.080, which states in part: "No employee of the board shall have any interest, directly or indirectly, in the manufacture of liquor sold under this title, or derive any profit or remuneration from the sale of liquor, other than the salary or wages payable to him in respect of his office or position, and shall receive no gratuity from any person in connection with such business.
RCW 69.50.351, no member of the state liquor and cannabis board and no employee of the state liquor and cannabis board shall have any interest, directly or indirectly, in the producing, processing, or sale of cannabis, useable cannabis, or cannabis-infused products, or derive any profit or remuneration from the sale of cannabis, useable cannabis, or cannabis-infused products other than the salary or wages payable to him or her in respect of his or her office or position, and shall receive no gratuity from any person in connection with the business.
The Washington State Liquor and Cannabis Board is an equal opportunity employer and encourages applications from job seekers with diverse backgrounds. Honoring diversity, equity and inclusion means that as an agency, and as individuals, we are committed to ensuring that all employees enjoy a respectful, safe, and supportive working environment.
All qualified applicants will receive consideration for employment without discrimination based on sex, race, creed, religion, color, national origin, age, honorably discharged veteran or military status, sexual orientation including gender expression or identity, the presence of any sensory, mental, or physical disability, or the use of a trained dog guide or service animal by a person with a disability. You are welcome to include your name and gender pronouns in your application, to ensure we address you appropriately throughout the application process.
For questions about this recruitment, or to request reasonable accommodation in the application process, please email [email protected] or call
(360) 664.1674. For TTY service, please call the Washington Relay Service at 7-1-1 or 1-800-833-6384.

Apply for this job with State of Washington Liquor and Cannabis Board

Apply now →

By clicking the "Apply now" button, you'll be leaving Fazow and going to an external job application page for this company. Please research all companies before applying. When applying for jobs, you should NOT have to pay to apply. Fazow accepts no liability or responsibility as a consequence of any reliance upon information on external sites or in jobs listed on fazow.com.

Canna Brothers Development specializes in Cannabis business design, construction and business operations consulting. This candidate will be working directly with entrepreneurs entering the New Mexico Cannabis Industry. This is a fast paced highly regulated industry that will require a candidate who is self starter, has the ability to multi-task and piviot fluidly according to changing compliance regulations, and keep open and consistent communication with other employees on the team. Must be familiar with and have full understanding of cannabis regulations and policies in the industry workplace.

Canna Brothers Development is hiring an experienced cannabis professional who is familiar with New Mexico Cannabis Regulation and compliance procedures.

This hire must have;

extensive knowledge of previous NMDOH Cannabis compliance regulations

• be familiar with new RLD CCD cannabis regulations
• be proficient at an administrative level in THC Biotrack compliance program

Preference will be given to candidates who have worked previous at an administrative level in compliance with State Cannabis Regulation. Pay is starting at $15 per hour and will be based on candidate experience.

Job Type: Full-time

Pay: From $15.00 per hour

Schedule:

• 8 hour shift
• Monday to Friday

Application Question(s):

• Can you pass a background check?

Experience:

• Administrative or management in cannabis industry: 1 year (Required)

Work Location: One location

Apply for this job with Canna Brothers Development

Apply now →

By clicking the "Apply now" button, you'll be leaving Fazow and going to an external job application page for this company. Please research all companies before applying. When applying for jobs, you should NOT have to pay to apply. Fazow accepts no liability or responsibility as a consequence of any reliance upon information on external sites or in jobs listed on fazow.com.

Job details
Salary
$4,509 - $5,913 a month
Job Type
Full-time
Full Job Description
Description

WSLCB Vision
Safe communities for Washington State

Mission
Promote public safety and trust through fair administration and enforcement of liquor, tobacco cannabis and vapor laws.

**Note: WSLCB is currently recruiting for multiple positions located in Yakima, Wenatchee, Pasco, Spokane and Mountlake Terrace. This recruitment is open until all positions are filled. The hiring authority reserves the right to make a hiring decision at any time. It is in the applicant's best interest to submit materials as soon as possible. First application review will be April 11, 2021.
To further ensure public safety and in conjunction with our Governor's proclamation of stay home, stay healthy and current guidelines related to COVID-19, interviews at this time will be conducted by video or phone conference as part of our recruitment process.

Who we are:
The mission of the Washington State Liquor and Cannabis Board (WSLCB) is to promote public safety and trust through fair administration and enforcement of liquor, cannabis, tobacco, and vapor laws. At the WSLCB we pride ourselves on creating the "wow" factor in everything we do. We search for people who demonstrate a strong work ethic, excellence in customer service, partnering and teamwork, and quality performance. We strive to be a great place to work by fostering a safe, open, inclusive and healthy work environment. We want to ensure that our organization is as diverse and inclusive as our great State of Washington.
We want to create a culture that fosters excellence in customer service, open and honest communication, transparency and accountability, data driven decisions, and business initiated process improvement.

Your opportunity at a glance:
The Washington State Liquor and Cannabis Board (WSLCB) is seeking candidates for multiple positions as an Administrative Regulations Analyst 3 (Compliance Consultant) within the Enforcement and Education Division. The locations for these positions are Mountlake Terrace, Pasco, Spokane, Wenatchee and Yakima.
As an ARA3, this position acts independently to plan, prioritize, develop, and implement education and community outreach activities that help and support the cannabis industry. This position, in conjunction with their supervisor’s input, sets and accomplishes educational priorities. Incumbents resolve complex problems and have latitude to determine methods and procedures to complete their work. Duties may include complex activities such as planning and/or facilitating workshops attended by industry members, assisting in the development of educational/outreach materials for the cannabis industry, preparing public involvement plans, resolving and establishing a community outreach strategy, and assisting in developing policies and procedures.
The WSLCB Enforcement and Education Division is committed to integrity, honesty, dedication, a commitment to serve, and public trust. The division's employees carry out their duties with the highest standards of personal and professional ethics. To learn more about the Enforcement and Education Division, follow us on our WSLCB YouTube Channel.
The Enforcement and Education Division is headquartered in Olympia and has four regional offices (Tacoma, Federal Way, Mount Vernon, and Spokane) and seven field offices. The Compliance Consultant positions will be assigned to a regional/field office within any of the Enforcement and Education Division locations. Special note: You must live within 45 miles of an assigned duty station.

WSLCB provides a modern work environment and excellent benefits including:

• Training and career development programs
• Tuition reimbursement
• Flexible work schedules
• Telecommuting opportunities
• Generous wellness program
• Onsite exercise facility
• Active and engaging diversity program
• Infant at Work program
• Organization's commitment to your personal health and well-being.
• Work/life balance
• Free parking

A comprehensive benefits package

Duties

Representing the Liquor and Cannabis Board, the Compliance Consultant provides technical assistance and education in support of the state’s licensed cannabis industry. This position supports licensees in operating their business in compliance with LCB rules and regulations and works collaboratively with other internal stakeholders such as the Licensing Division and the Enforcement and Education Division’s commissioned staff team members to ensure consistency of messaging and the interpretation of rules and laws that influence the cannabis industry.

• Educates and engages licensees, to include consultation visits, licensee education, and employee training.
• Responds to verbal and written inquiries concerning marijuana laws, regulations and licensing.
• Develops intervention strategies designed to achieve immediate correction and long-term compliance
• Delivers clear, concise, accurate and factual summaries of results of inspections both orally and in writing.
• Assists in the development and implementation of an education plan and community outreach strategies including the preparation of the educational/outreach materials.
• Participates in comprehensive compliance inspections to ensure licensees, premises, records, advertising, labeling and devices are within approved minimum guidelines and licensees are in compliance with marijuana Laws and Regulations.
• Conducts pre-scheduled field visits to licensed producers, processors, and retailers.
• Assists the commissioned team members with analyzing and responding to complaints on licensed locations.
• Organizes and conducts scheduled inspections of licensed establishments, registered cooperatives, and certified laboratories to check for compliance with state laws.
• Completes final inspections in a timely manner. Communicates final inspection status and pre-licensure issues with Licensing staff.
• Conducts marijuana license briefings with applicants. Clearly communicates the requirements of the appropriate RCW’s and WAC’s.
• Assists with site verification of discontinued businesses.
• Reviews licensed locations monthly to verify marijuana licenses are current and in good standing. Contacts licensee prior to license expiration per written protocol.
• Testifies in court or at administrative hearings when needed.
• Completes comprehensive reports and data entry into the agency’s record management system.
• Uses a computer terminal to access driver licenses, criminal records, various agencies files, ACCESS, and vehicle registration databases to identity subject for Enforcement Officers.
• Compiles information to be used in bulletins, articles, and publications for the benefit of the agency and stakeholders.
• Composes and/or completes memoranda/correspondence, reports summarizing documentation pertaining to identified topics.
• Plans, conducts and/or attends conferences and workshops that contribute to the development and improvement of the unit or agency.
• Other duties as assigned.

Qualifications

Required Qualifications:
Bachelor's degree in business administration, public administration, criminal justice, police science or a closely related field AND two years of experience working with a regulated industry providing education and guidance to industry members on rules and laws with the goal of achieving voluntary compliance.
OR
A combination of college work and experience as described above to constitute the equivalent of six years of experience.
OR
A high school diploma or GED and six years of experience as described above.
OR
One year of experience as and LCB Enforcement Officer
In addition, must have demonstrated the following abilities:

• Able to speak and write in English at a 12th grade level and present information to individuals or in a group setting in a manner that is clear and easily understood.
• Able to successfully read, understand, and interpret policies and procedures.

Preferred/Desired Qualifications:

• Understanding of the WSLCB scope of regulatory authority and jurisdiction.
• Able to communicate effectively and collaboratively with stakeholders with inherently diverse interests.
• Demonstrated ability to develop and make effective oral presentations for small groups.
• Demonstrated ability to coordinate workshops and/or trainings
• One or more years’ experience in consulting and/or interviewing to collect data and/or obtain statements.
• Demonstrated ability to deal effectively with conflict arising from regulatory inspections while maintaining positive customer service.
• Experience participating in administrative hearings, such as testifying.

Conditions of Employment:

• Must be 21 years or older.
• Must undergo a full criminal background check, credit check, fingerprinting, sexual predator check and reference check.
• Have the physical ability to:
  • Employ the senses of sight (both day and night), touch, smell, and hearing while performing various job requirements.
  • Walk on uneven ground and over long distances, stand for extended periods of time, climb stairs.
  • Use a computer with Microsoft Suite software, including scheduling on a data base calendar and using the agency e-mail system.
  
  
• Must have permanent residency within driving distance of 45 miles of assigned duty station.
• Must obtain and maintain a valid Washington driver's license prior to and during employment free of legal restriction that would require modification of a sate vehicle to comply.
• Successfully complete the LCB Field Training Program.

Applicants for employment with the Washington State Liquor and Cannabis Board should also be aware of RCW 66.08.080, which states: "No employee of the board shall have any interest, directly or indirectly, in the manufacture of liquor sold under this title, or derive any profit or remuneration from the sale of liquor, other than the salary or wages payable to him or her in respect of his or her office or position, and shall receive no gratuity from many person in connection with such business."
Applicants for employment with the Washington State Liquor and Cannabis Board should also be aware of RCW 69.50.351, which reads in part, "No member of the state Liquor and Cannabis Board and no employee of the state Liquor and Cannabis Board shall have any interest, directly or indirectly, in the producing, processing, or sale of marijuana, useable marijuana, or marijuana-infused products, or derive any profit or remuneration from the sale of marijuana, useable marijuana, or marijuana-infused products other than the salary or wages payable to him r her in respect of his or her office or position, and shall receive not gratuity from any person in connection with the business."

Supplemental Information

HOW TO APPLY
PLEASE READ THE FOLLOWING INFORMATION CAREFULLY TO ENSURE YOU HAVE SUBMITTED THE REQUIRED MATERIALS TO BE CONSIDERED.
IMPORTANT: To be considered for this position, you MUST include the following, failure to do so will result in your application being disqualified:

• Completed online application.
• Current Resume.
• Letter of Interest describing how you meet the specific qualifications for the position.
• Three professional references to include a current or recent supervisor with email addresses and phone numbers.

**A resume will not substitute for completing the "work experience" section of the application.
The information provided in your application and supplemental questionnaire must support your selected answers in the supplemental questions. Responses not supported in your application will disqualify you for consideration of employment from this recruitment.
Prior to a new hire, a background check including criminal record history will be conducted. Information from the background check will not necessarily preclude employment but will be considered in determining the applicant's suitability and competence to perform in the position.
Other
Applicants for employment with the Washington State Liquor and Cannabis Board should also be aware of RCW 66.08.080, which states in part: "No employee of the board shall have any interest, directly or indirectly, in the manufacture of liquor sold under this title, or derive any profit or remuneration from the sale of liquor, other than the salary or wages payable to him in respect of his office or position, and shall receive no gratuity from any person in connection with such business.
RCW 69.50.351, no member of the state liquor and cannabis board and no employee of the state liquor and cannabis board shall have any interest, directly or indirectly, in the producing, processing, or sale of marijuana, useable marijuana, or marijuana-infused products, or derive any profit or remuneration from the sale of marijuana, useable marijuana, or marijuana-infused products other than the salary or wages payable to him or her in respect of his or her office or position, and shall receive no gratuity from any person in connection with the business.
WSLCB is an equal opportunity employer and does not discriminate on the basis of race, creed, color, national origin, sex, marital status, sexual orientation, gender identity, diversity, age, honorably discharged veteran, veteran status, genetic information, or the presence of any sensory, mental or physical disability or the use of a trained guide dog or service animal by a person with a disability.
For questions about this recruitment, or to request reasonable accommodation in the application process, please email [email protected] or call (360) 664.1636. For TTY service, please call the Washington Relay Serviceat 7-1-1 or 1-800-833-6384.

Apply for this job with State of Washington Liquor and Cannabis Board

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Description

WSLCB Vision
Safe communities for Washington State
Mission
Promote public safety and trust through fair administration and enforcement of liquor, tobacco, cannabis and vapor laws.

This recruitment is open until filled. First application review will be December 16, 2020 and thereafter continue on a weekly basis. The hiring authority reserves the right to make a hiring decision at any time. We encourage all applicants to apply as early as possible.
To further ensure public safety and in conjunction with our Governor's proclamation of stay home, stay healthy and current guidelines related to COVID-19, interviews at this time will be conducted by video or phone conference as part of our recruitment process.

Who we are
The mission of the Washington State Liquor and Cannabis Board (WSLCB) is to promote public safety and trust through fair administration and enforcement of liquor, cannabis, tobacco, and vapor laws. At the WSLCB we pride ourselves on creating the "wow" factor in everything we do. We search for people who demonstrate a strong work ethic, excellence in customer service, partnering and teamwork, and quality performance. We strive to be a great place to work by fostering a safe, open, inclusive and healthy work environment. We want to ensure that our organization is as diverse and inclusive as our great State of Washington.
We want to create a culture that fosters excellence in customer service, open and honest communication, transparency and accountability, data driven decisions, and business initiated process improvement.

Your opportunity at a glance
The Washington State Liquor and Cannabis Board (WSLCB) is seeking to fill two permanent Compliance Consultant (Administrative Regulations Analyst 3) positions within the Enforcement and Education Division. The locations available for these positions are Olympia (Thurston County) or Mountlake Terrace (Snohomish County), Washington.
As a Compliance Consultant, your job is to help businesses thrive in Washington state's licensed cannabis industry. You will be an expert in the RCWs and WACs that regulate cannabis licensees and offer direct assistance to businesses in translating those rules into compliant business practices. You will be expected to build relationships with the industry and be viewed as a trusted resource dedicated to their success.
A majority of your time will be spent in the field, visiting and consulting with cannabis retail stores, labs, grow operations, and processing establishments within an assigned geographical area. You will be assigned a state-owned take-home vehicle to accomplish the education and outreach responsibilities of your position.
The WSLCB Enforcement and Education Division is committed to integrity, honesty, dedication, a commitment to serve, and public trust. The division's employees carry out their duties with the highest standards of personal and professional ethics. To learn more about the Enforcement and Education Division, follow us on our WSLCB YouTube Channel.
The Enforcement and Education Division is headquartered in Olympia and has four regional offices (Tacoma, Federal Way, Mount Vernon, and Spokane) and seven field offices. The Compliance Consultant positions will be assigned to a regional/field office within any of the Enforcement and Education Division locations. Special note: You must live within 45 miles of an assigned duty station.
WSLCB provides a modern work environment and excellent benefits including:

• Training and career development programs
• Tuition reimbursement
• Flexible work schedules
• Telecommuting opportunities
• Generous wellness program
• Onsite exercise facility (Olympia office only)
• Active and engaging diversity program
• Organization's commitment to your personal health and well-being.
• Work/life balance.
• Free parking
• A comprehensive benefits package.

Duties

As a Compliance Consultant, you will seek to obtain voluntary compliance through education and outreach. You will independently plan, prioritize, develop, and implement education and community outreach activities that support the cannabis industry. Some of your duties may include complex activities such as planning and/or facilitating workshops attended by industry members, assisting in the development of educational/outreach materials for the cannabis industry, preparing public involvement plans, resolving and establishing a community outreach strategy, and assisting in developing policies and procedures. Your responsibilities will require you to work collaboratively with internal stakeholders such as the Licensing Division and the Enforcement and Education Division's commissioned staff team members.
Further responsibilities include, but are not limited to the following:

• Provide licensee support and education.
• Perform consultation visits, licensee education, and employee training.
• Deliver informal and formal training pertaining to applicable RCWs and WACs to marijuana licensees, managers, and employees.
• Respond to verbal and written inquiries concerning marijuana laws, regulations, and licensing.
• Develops intervention strategies designed to achieve immediate correction and long-term compliance.
• Participates in comprehensive compliance inspections.
• Provide training and delivers presentations to the marijuana industry, outside law enforcement agencies and the general public.
• Conduct pre-schedule field visits to licensed producers, processors, and retailers.
• Schedules and completes an initial meeting in conjunction with an enforcement officer.
• Assist commissioned team members with analyzing and responding to complaints on licensed locations.
• May issue low-level verbal and written warning notices.
• As a result of assisting with an investigation, write reports of findings, create exhibits for hearing, and assist in presenting cases to a board, commission, or administrative law judge.
• Schedule and conduct marijuana final inspections.
• Conduct marijuana license briefings with applicants.

Qualifications

REQUIRED QUALIFICATIONS

A Bachelor's degree, in business administration, public administration, criminal justice, police science or a closely related field and two (2) years of experience working with a regulated industry providing education and guidance to industry members on rules and laws with the goal of voluntary compliance.
OR
A combination of college work and the type of experience described above to constitute the equivalent of six (6) years of experience.
OR
A High School Diploma or GED and six (6) years of experience as described above.
OR
One year of experience as an LCB Enforcement Officer.
CONDITIONS OF EMPLOYMENT

• Must be 21 years or older.
• Must pass a full criminal background check, credit check, fingerprinting, sexual predator check and reference check, as well as a pre-employment drug and alcohol test.
• Have the physical ability to:
  • Employ the senses of sight (both day and night), touch, smell, and hearing while performing various job requirements.
  • Walk on uneven ground and over long distances, stand for extended periods of time, climb stairs.
  • Use a computer with Microsoft Suite software, including scheduling on a database calendar and using the agency e-mail system.
  
  
• Must be a Washington State resident (or obtain prior to hire) and have permanent residency within driving distance of 45 miles of assigned duty station.
• Must obtain and maintain a valid Washington driver's license prior to and during employment free of legal restriction that would require modification of a sate vehicle to comply.
• Successfully complete the LCB Field Training Program.

In addition to the qualifications stated Above, the candidate will also possess the following abilities:

• Able to speak and write in English at a 12th grade level and present information to individuals or in a group setting in a manner that is clear and easily understood.
• Able to effectively communicate with irate or intoxicated people.
• Able to successfully read, understand, and interpret policies and procedures.

PREFERRED/DESIRED QUALIFICATIONS

• Experience participating in administrative hearings, such as testifying.
• Understanding of the WSLCB scope of regulatory authority and jurisdiction.
• Able to communicate effectively and collaboratively with stakeholders with inherently diverse interests.
• Demonstrated ability to develop and make effective oral presentations for small groups.
• Demonstrated ability to coordinate workshops and/or trainings.
• Demonstrated ability to deal effectively with conflict arising from regulatory inspections, while maintaining positive customer service.

Supplemental Information

HOW TO APPLY
To begin the application process, you must submit the following, failure to do so will result in your application not considered.

• Completed on-line application.
• Letter of interest, describing how you meet the specific qualifications for the position
• Resume, detailing experience and education as it relates to the position
• Three professional references to include a current or recent supervisor with current contact numbers and email addresses.

**A resume will not substitute for completing the "work experience" section of the application.
The information provided in your application and supplemental questionnaire must support your selected answers in the supplemental questions. Responses not supported in your application will disqualify you for consideration of employment from this recruitment.
Prior to a new hire, a background check including criminal record history, credit check, fingerprinting, sexual predator check and reference check, as well as a pre-employment drug and alcohol test will be conducted. Information from the background check will not necessarily preclude employment but will be considered in determining the applicant's suitability and competence to perform in the position.
Other
Applicants for employment with the Washington State Liquor and Cannabis Board should also be aware of RCW 66.08.080, which states in part: "No employee of the board shall have any interest, directly or indirectly, in the manufacture of liquor sold under this title, or derive any profit or remuneration from the sale of liquor, other than the salary or wages payable to him in respect of his office or position, and shall receive no gratuity from any person in connection with such business."
RCW 69.50.351, no member of the state liquor and cannabis board and no employee of the state liquor and cannabis board shall have any interest, directly or indirectly, in the producing, processing, or sale of marijuana, useable marijuana, or marijuana-infused products, or derive any profit or remuneration from the sale of marijuana, useable marijuana, or marijuana-infused products other than the salary or wages payable to him or her in respect of his or her office or position, and shall receive no gratuity from any person in connection with the business
This position is included in a bargaining unit represented by the Washington Federation of State Employees (WFSE).
LCB is an equal opportunity employer and does not discriminate on the basis of race, creed, color, national origin, sex, marital status, sexual orientation, gender identity diversity, age, honorably discharged veteran, veteran status, genetic information, or the presence of any sensory, mental or physical disability or the use of a trained guide dog or service animal by a person with a disability.
For questions about this recruitment, or to request reasonable accommodation in the application process, please email [email protected] or call (360) 664.1636. For TTY service, please call the Washington Relay Service at 7-1-1 or 1-800-833-6384.

Apply for this job with State of Washington Liquor and Cannabis Board

Apply now →

By clicking the "Apply now" button, you'll be leaving Fazow and going to an external job application page for this company. Please research all companies before applying. When applying for jobs, you should NOT have to pay to apply. Fazow accepts no liability or responsibility as a consequence of any reliance upon information on external sites or in jobs listed on fazow.com.

Aspect Advisors is a regulatory compliance consulting firm that was founded in January 2019 with a mission to be the premier destination for innovative financial services firms that require modern customized solutions. Our clients are primarily investment advisers (including internet-only advisers), fund managers (Crypto, PE, VC, Hedge), broker-dealers, Fintech companies, and other unregistered finance-related firms.

Opportunity:

We are currently seeking aSenior Associate Consultant with a solid foundation in overseeing compliance matters related to investment advisors that manage both SMAs and funds. The ideal candidate is not only well-versed in traditional forms of investment such as public/private equity, debt, and real estate, but is also comfortable with contemporary forms of alternative investments such as cryptocurrency and cannabis. Senior Associates should also be capable of extrapolating their compliance knowledge to advise Fintech businesses that provide services to investment advisers and other financial firms.

This role is most suitable for candidates who are interested in cultivating their personal growth and pursuing a career at the intersection of innovation and finance. For a compliance professional, this is an exciting opportunity to join a rapidly-growing company and work on cutting-edge projects.

Responsibilities:

• Help clients meet their goals by providing strategy consulting services and helping them manage complexities of the financial regulatory regime,
• Independently oversee a number of assigned clients,
• Lead new client onboarding: interview key personnel, review existing compliance program materials, perform gap analysis,
• Customize and maintain clients’ policies and procedures to comply with SEC and state regulations, (i.e. creating a calendar to track the client’s ongoing compliance obligations and revamping clients’ Polies & Procedures Manuals,
• Analyze, prepare, and submit regulatory filings such as Form ADV, 13D/G, 13F, 13H, PF, and Form D and Blue Sky filings in conjunction with Compliance Analysts,
• Advise clients on their business model while applying the principles behind the Securities Act, Securities Exchange Act, Advisers Act, Investment Company Act, and other applicable regulations,
• Review client marketing materials and communications (written and digital),
• Assist clients in the performance of compliance functions such as registering with the SEC or State Regulator, overseeing trade matters (i.e. client suitability/KYC, due diligence, insider trading), providing ethics training to investment adviser representatives, email review, etc., and
• Guide clients through every step of SEC and State exams and communicate with Regulators as necessary.

Qualifications:

Successful candidates will have many, if not all, of the attributes below:

• 3 – 8 years of relevant compliance experience at a registered investment adviser, exempt reporting adviser, broker dealer, law firm, or compliance consulting firm
• Bachelor’s Degree (business, finance, or related field preferred, but not required)
• Strong working knowledge of the IA Act ’40, IC ACT of ‘40, Securities Act ’33, SEA ’34, AML and Privacy rules
• Deep experience with RIA and/or private fund procedures and associated filings
• JD or Series 65/66 license is a plus
• Proficient in modern software: CRM; project management (tracking client work and deliverables), Microsoft 365 products (Outlook, Word, Excel); file-sharing systems (Box)

Bonus points for the following experience:

• Knowledge of rules and regulations for broker dealers, filings (NMA/CMA, Forms U-4, U-5, BR, BD) and procedures
• Ability to function as an outsourced Chief Compliance Officer (CCO)
• Experience with SEC and State Exam practices; ability to conduct mock exams
• Knowledge of CFTC / NFA rules

Required Skills:

• Self-directed high achiever: able to work independently in a fast paced and ever-changing environment.
• Commitment to customer service: focus on delivering quality work product in a timely manner, maintain an “open door” for clients to reach you for guidance.
• Proactive critical thinker: able to foresee potential risks ahead of making decisions, able to balance business concerns and regulatory requirements.
• Effective communicator: able to confront conflict and difficult issues in a professional and proactive manner.
• Solid organizational and record keeping skills

Logistics:

• This is a full-time salaried position with benefits
• The firm is based in downtown San Francisco (all team members are working remotely during Shelter-in-Place restrictions; we are open to discussing permanent remote work)
• This position reports directly to the President and works closely with the COO
• Occasional travel may be requested for client meetings, audits, events, and conferences
• A background check will be required
• Compensation is competitive and commensurate with experience

To apply, please email a copy of your resume and a cover letter detailing your specific experience.

Job Type: Full-time

Pay: $110,000.00 - $150,000.00 per year

Benefits:

• Dental insurance
• Health insurance
• Paid time off
• Vision insurance

Schedule:

• 8 hour shift
• Day shift
• Monday to Friday

COVID-19 considerations:Our team is working remotely from home during the pandemic.

Experience:

• compliance: 3 years (Required)

Company's website:

• www.aspectadv.com

Work Remotely:

• Temporarily due to COVID-19

Apply for this job with Aspect Advisors

Apply now →

By clicking the "Apply now" button, you'll be leaving Fazow and going to an external job application page for this company. Please research all companies before applying. When applying for jobs, you should NOT have to pay to apply. Fazow accepts no liability or responsibility as a consequence of any reliance upon information on external sites or in jobs listed on fazow.com.

About Aspect Advisors

Aspect Advisors is a regulatory compliance consulting firm with a modern twist. Our clients are primarily investment advisers (including internet-only advisers), fund managers (Crypto, PE, VC, Hedge), broker-dealers, Fintech companies, and other unregistered finance-related firms.

Our fully customized and high-touch consulting services include regulator and state registrations and filings, IA compliance policies and procedures, ongoing strategic advice, and outsourced compliance and financial principal support. Aspect was founded in January 2019 and is headquartered in San Francisco with additional team members based in New York.

Opportunity:

Aspect is currently seeking an experiencedInvestment Adviser compliance professional. This is a unique opportunity to join a rapidly-growing company and work on cutting-edge projects.

Candidates must have a solid foundation in providing compliance support to investment advisors that manage both separately managed accounts and/or private investment vehicles. The ideal candidate is not only well-versed in traditional forms of investment such as public/private equity, debt, and real estate, but is also comfortable with contemporary forms of alternative investments such as crypto/blockchain, cannabis, and internet-based investing.

Responsibilities:

• Participate in new client onboarding: interview key personnel, review existing compliance program materials, perform gap analysis
• Draft and submit applications for Registration with individual states or the SEC (Form ADV)
• Guide clients through every step of SEC and State exams and communicate with Regulators as necessary
• Customize clients’ policies and procedures manuals to company-specific operational requirements for compliance with SEC and state regulations, as well as best practices
• Analyze, prepare, and submit other regulatory filings such as Form D and Blue Sky filings, 13D/G, 13F, 13H, and Form PF
• Manage compliance calendar and deadlines for assigned Clients
• Review client marketing materials and communications (written and digital)
• Help clients meet their goals by providing strategic consulting services and helping them manage complexities of their specific financial regulatory regime
• Conduct research on SEC and State regulations in response to clients’ inquiries, and advise clients on their business model while applying the principles behind the Securities Act, Securities Exchange Act, Advisers Act, Investment Company Act, and other applicable regulations
• Assist clients in the performance of compliance functions such as overseeing trade matters (i.e. client suitability/KYC, due diligence, insider trading), providing ethics training to investment adviser representatives, email review, etc.

Qualifications:

• 4 years minimum of relevant compliance experience at a registered investment adviser, exempt reporting adviser, private fund manager, dual-registered broker dealer, securities law firm, or compliance consulting firm
• Bachelor’s Degree (business, finance, or related field preferred, but not required)
• Strong working knowledge of the IA Act ’40, IC ACT of ‘40, Securities Act ’33, Securities Act ’34, AML and Privacy rules
• Experience with registered investment adviser (including private fund) procedures and associated filings
• Competent with modern software: CRM; project management (tracking client work and deliverables), Microsoft 365 products (Outlook, Word, Excel); file-sharing systems (Box)

• Commitment to customer service: focus on delivering quality work product in a timely manner, maintain an “open door” for clients to reach you for guidance.
• Proactive critical thinker: able to foresee potential risks ahead of making decisions, able to balance business concerns and regulatory requirements.
• Effective communicator: able to confront conflict and difficult issues in a professional and proactive manner.
• Organized and process oriented: ability to multi-task, work under pressure, maintain detailed records, prioritize work, and meet deadlines.
• Self-directed high achiever: strong sense of personal accountability, initiative and enthusiasm, and a positive attitude.
• Outstanding interpersonal and communication skills (both written and verbal)
• Able to work independently and/or remotely with limited direct supervision in an effective and efficient manner, but also comfortable collaborating frequently (via team calls, Zoom, IM) with other team members.

• Willingness to schedule phone calls and meetings at times convenient for clients and customers around the world.

Other Desired Qualifications/Experience:

• Knowledge of crypto and digital asset compliance
• Knowledge of rules and regulations for broker dealers, filings (NMA/CMA, Forms U-4, U-5, BR, BD) and procedures
• Knowledge of CFTC / NFA rules

• Ability to function as an outsourced Chief Compliance Officer (CCO)

Logistics:

• This is a full-time salaried position with benefits.
• Monday – Friday business hours.
• The firm is based in San Francisco and has team members located in New York.
• All team members are working remotely from home offices during COVID-19 restrictions. We are open to discussing permanent remote work.
• This position reports directly to the leader of the Investment Adviser department

• Occasional travel may be requested for client meetings, audits, events, and conferences.
• Must be eligible to work in the U.S.

• A background check will be required (which may include fingerprinting).
• Compensation is competitive and commensurate with experience; medical, dental and vision insurance, and PTO benefits.

To apply, please provide a copy of your resume and a cover letter describing why you are interested in this position.

Job Type: Full-time

Pay: $85,000.00 - $110,000.00 per year

Benefits:

• Dental insurance
• Health insurance
• Paid time off
• Vision insurance

Schedule:

• 8 hour shift
• Day shift
• Monday to Friday

COVID-19 considerations:Our team is working remotely from home during the pandemic.

Education:

• Bachelor's (Preferred)

Experience:

• Form ADV: 2 years (Preferred)

Work Location:

• Fully Remote

Paid Training:

• Yes

Management:

• Team Lead

Company's website:

• www.aspectadv.com

Work Remotely:

• Yes

COVID-19 Precaution(s):

• Remote interview process

Apply for this job with Aspect Advisors

Apply now →

By clicking the "Apply now" button, you'll be leaving Fazow and going to an external job application page for this company. Please research all companies before applying. When applying for jobs, you should NOT have to pay to apply. Fazow accepts no liability or responsibility as a consequence of any reliance upon information on external sites or in jobs listed on fazow.com.