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RNDIP Compliance and Oversight Consultant

Remote - USA,USA

About Us

SolomonEdwardsGroup, LLC (“SolomonEdwards”) is a full-service professional services firm offering financial, operational, and technology consulting and operations support. We work with some of the world’s most prominent companies to help them envision and achieve a better future. We know that our consulting services are only as meaningful as the people and talent behind them, and we are committed to recruiting incredibly talented, committed, and collaborative individuals who can help us deliver exceptional client service. For more information, visit SolomonEdwards

Position Summary:

We are seeking an RNDIP Compliance and Oversight Consultant to join a leading national financial services organization with significant broker/dealer operations. This hands-on role will lead the design and implementation of a comprehensive Retail Non-Deposit Investment Products (RNDIP) oversight program, ensuring alignment with OCC guidelines while embedding regulatory requirements into operational practice.

Essential Duties:

• Serve as the lead resource for RNDIP program implementation, ensuring full alignment with OCC regulatory requirements.

• Partner with the Broker/Dealer oversight function and internal teams to ensure the first line of defense (1LOD) operational execution.

• Consolidate and prioritize existing requirements (currently 300+ line items across 20 categories) into a streamlined roadmap.

• Build and execute policies, procedures, reporting, and oversight mechanisms for the RNDIP program.

• Prepare and deliver reports, dashboards, and materials for committee and executive-level oversight.

• Provide guidance and challenge assumptions on what is required versus redundant, ensuring program efficiency.

• Act as the operational “engine” behind the RNDIP oversight committee, delivering the data, reports, and analysis needed for effective governance.

• Engage cross-functional partners in compliance (2LOD), TPRM, legal, and operations to close gaps and embed requirements.

Qualifications:

• Deep understanding of RNDIP/OCC regulatory requirements and demonstrated ability to apply guidelines in practice.

• Experience in:

o First line operations (1LOD) for broker/dealer or non-deposit investment products (ideal), and/or

o Second line (2LOD) compliance or audit functions with operational implementation experience.

• Proven ability to design and implement policies, procedures, and reporting structures in a regulated environment.

Skills and Job-Specific Competencies:

• Strong understanding of compliance, TPRM, and supplier risk management frameworks.

• Excellent organizational and communication skills.

• Proficiency with reporting tools, data analysis, and executive-level presentation.

Travel Requirements: Minimal travel required (less than 10%).

Physical Requirements: The physical demands described here are representative of those that must be met by an employee to successfully perform the essential functions of this job. Reasonable accommodations may be provided to qualified applicants or candidates with disabilities upon request to enable them to perform essential functions. This role may require mobility to attend in-person meetings, sitting or standing for extended periods, and the use of telephone, computer, or other electronic communication devices.

Salary Range: SolomonEdwards values your unique and individual experience and background. As such, we take a comprehensive approach when determining compensation for our roles. The compensation for this specific role is based on a wide range of factors, including but not limited to education, licensure and certifications, location, experience, and training. A reasonable estimate for the current hourly range for this role is $75 – 85.

Benefits: We are committed to providing health and financial stability by offering a comprehensive suite of benefits. Benefits include access to top-tier employers and job opportunities, health insurance, sick leave, and 401(k).

Inclusion and Diversity Statement: SolomonEdwards is an Equal Opportunity/Affirmative Action employer. We firmly believe in fostering an inclusive and diverse workplace environment. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, national origin, disability, gender identity, sexual orientation, veteran status, or any other characteristic protected by applicable laws. All employees, including managers and supervisors, are responsible for upholding our EEO and diversity principles. Discrimination or harassment of any kind will not be tolerated.

We value the contribution and wisdom of the team. At SolomonEdwards, we have built a vibrant and inclusive community. Our team members are curious, committed, and diverse. In keeping with our mission to build value through people, we cultivate a culture where differences are celebrated, and all members are treated fairly and equitably. Employees, business partners, and our extended stakeholder family are empowered to share their experiences, ideas, and perspectives and to be their whole selves.

Privacy: We adhere to the California Consumer Privacy Act (CCPA). Your privacy is important to us, and we never sell your data to third parties. Personal information is only collected to match applicants with job opportunities. Copy/paste this URL to learn more about your rights: SolomonEdwards' Privacy Policy.

Our Recruiter Promise: Our talent acquisition team prioritizes integrity, professionalism, and transparency in every interaction. When you engage with SolomonEdwards, you can trust a respectful, secure experience from verified contacts. Copy/paste this URL to learn more about how we protect your candidate experience: Recruiter Promise.

Job Ref: 142024