**Job Family** **:** Management Consulting **Travel Required** **:** Up to 10% **Clearance Required** **:** Ability to Obtain Public Trust **What You Will Do** **:** As a Stock Transfer Consultant, you will play a pivotal role in providing specialized advisory and operational support for stock transfer and compliance processes. This position demands expertise in financial markets, regulatory frameworks, and operational excellence to maintain a seamless and secure stock transfer service for our clients. You will collaborate with asset managers, compliance teams, and stakeholders to deliver high-quality, client-focused solutions. + **Market Abuse Surveillance:** Review and analyze daily alerts related to market abuse surveillance within the stock transfer and asset management sectors. Provide recommendations for improving surveillance systems and processes. + **Portfolio Monitoring and Risk Management:** Conduct portfolio trading reviews with a focus on compliance and operational risk mitigation. Offer insights and enhancements to connections between systems, ensuring holistic surveillance. + **Client and Stakeholder Engagement:** Manage relationships with asset managers, compliance leaders, and other stakeholders across the organization. Ensure excellent communication and support for both internal and external clients. + **Regulatory Compliance:** Maintain up-to-date knowledge of regulatory requirements and ensure adherence to all applicable policies. Contribute to the development of compliance programs and operational frameworks. + **Operational Excellence:** Prepare and present management reports for senior leadership on performance and compliance metrics. Support stock transfer operations by analyzing data and implementing process improvements. + **Training and Guidance:** Provide informal guidance and mentoring to junior team members. Share expertise and best practices to enhance team performance. ** We are open to hiring this resource at a variety of levels, depending on skills and experience. **What You Will Need** **:** + Bachelor’s degree in finance, business, or a related field. + At minimum **One (1) to Seven (7)** years of experience in financial compliance, surveillance, or a related field within the stock transfer or financial services industry. + Familiarity with Fixed Income, Equities, FX, and Futures products. + Knowledge in systems such as Bloomberg, Compliance Alpha, Aladdin, or similar OMS platforms. + Relevant financial certifications are preferred (e.g., FINRA licenses, CFA, or equivalent). + US citizenship is required. **What Would Be Nice To Have** **:** + Master's Degree + Financial Modeling experience. + Certifications such as: Certified associate in project management, Project Management Professional, Chartered Financial Analyst, Certified Public Accountant, etc. The annual salary range for this position is $74,000.00-$124,000.00. Compensation decisions depend on a wide range of factors, including but not limited to skill sets, experience and training, security clearances, licensure and certifications, and other business and organizational needs. **What We Offer:** Guidehouse offers a comprehensive, total rewards package that includes competitive compensation and a flexible benefits package that reflects our commitment to creating a diverse and supportive workplace. Benefits include: + Medical, Rx, Dental & Vision Insurance + Personal and Family Sick Time & Company Paid Holidays + Parental Leave + 401(k) Retirement Plan + Group Term Life and Travel Assistance + Voluntary Life and AD&D Insurance + Health Savings Account, Health Care & Dependent Care Flexible Spending Accounts + Transit and Parking Commuter Benefits + Short-Term & Long-Term Disability + Tuition Reimbursement, Personal Development, Certifications & Learning Opportunities + Employee Referral Program + Corporate Sponsored Events & Community Outreach + Care.com annual membership + Employee Assistance Program + Supplemental Benefits via Corestream (Critical Care, Hospital Indemnity, Accident Insurance, Legal Assistance and ID theft protection, etc.) + Position may be eligible for a discretionary variable incentive bonus **About Guidehouse** Guidehouse is an Equal Employment Opportunity / Affirmative Action employer. All qualified applicants will receive consideration for employment without regard to race, color, national origin, ancestry, citizenship status, military status, protected veteran status, religion, creed, physical or mental disability, medical condition, marital status, sex, sexual orientation, gender, gender identity or expression, age, genetic information, or any other basis protected by law, ordinance, or regulation. Guidehouse will consider for employment qualified applicants with criminal histories in a manner consistent with the requirements of applicable law or ordinance including the Fair Chance Ordinance of Los Angeles and San Francisco. If you have visited our website for information about employment opportunities, or to apply for a position, and you require an accommodation, please contact Guidehouse Recruiting at 1-571-633-1711 or via email at RecruitingAccommodation@guidehouse.com . All information you provide will be kept confidential and will be used only to the extent required to provide needed reasonable accommodation. _Guidehouse does not accept unsolicited resumes through or from search firms or staffing agencies. All unsolicited resumes will be considered the property of Guidehouse and Guidehouse will not be obligated to pay a placement fee._