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Compliance Officer - Fractional
Compliance Officer - FractionalCSI Group • Wall Township, NJ, US
Compliance Officer - Fractional

Compliance Officer - Fractional

CSI Group • Wall Township, NJ, US
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Job Description

Job Description

Salary : $55 -$75hr

Join CSI Group A Thriving Career Awaits You!

CSI Group is a leading financial services firm dedicated to enriching lives and legacies by providing personalized services that guide individuals and families to achieve lasting financial prosperity.

We specialize in financial planning, tax preparation, and estate planning, offering a comprehensive suite of services tailored to meet the unique needs of middle-class individuals and families. Our mission is rooted in the belief that financial security and expert guidance should be accessible to everyonenot just the wealthy.

Through ourone-stop-shop approach, we make high-quality financial services bothaffordable and accessible, empowering clients to confidently navigate their financial journeys and secure brighter futures for themselves and their loved ones.

Join CSI Group and become part of a team that is transforming lives and communities by delivering meaningful, lasting financial solutions. Be part of a team that values your contributions and invests in your growth!

Position Summary

The Fractional Compliance Officer will design, oversee, and support compliance programs across CSIs financial services operations. Working on a flexible, part-time basis, this role balances regulatory oversight with practical guidance to Advisors and Operations, ensuring compliance obligations are met without slowing business growth.

Key Responsibilities

Regulatory Oversight & Risk Management

  • Monitor compliance with SEC, FINRA, IRS, and state-level financial regulations.
  • Provide timely updates on regulatory changes and advise leadership on implications.
  • Conduct limited-scope audits and reviews, prioritizing high-impact risk areas.

Policies, Procedures & SOPs

  • Draft, update, and maintain compliance-related Standard Operating Procedures (SOPs).
  • Partner with the Operations team to embed SOPs into daily workflows.
  • Ensure all compliance SOPs are documented and accessible via Trainual.

    • Training & Guidance

  • Deliver targeted compliance training sessions to advisors and staff.
  • Serve as an on-call resource for compliance questions and escalations.
  • Promote a culture of compliance and ethical conduct within CSI.

    • Monitoring & Reporting

  • Ensure timely reporting of suspicious activity, data privacy issues, and member complaints.
  • Maintain required regulatory records and filings.
  • Provide periodic compliance status reports to leadership.

    • Qualifications

  • Bachelors degree in Finance, Business, Law, or related field (JD or MBA preferred).
  • 5+ years of compliance experience within financial services, wealth management, or investment advisory firms.
  • Strong knowledge of SEC, FINRA, IRS, and other applicable regulations.
  • Ability to operate effectively in a fractional / part-time capacity.
  • Strong communication skills; able to provide concise, actionable compliance guidance.
  • Proven track record of developing and maintaining SOPs.

    • Engagement Details

  • Part-time / fractional : Estimated 20 25 hours per week (flexible based on needs).
  • Hybrid : Combination of on-site collaboration in Wall Township, NJ, and remote work.
  • Compensation commensurate with experience and scope of engagement.
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    Compliance Officer • Wall Township, NJ, US

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