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Comply · 2 days ago

Compliance Consultant, Partnership Consulting Services

United States

Full-time

Hybrid

Mid Level

$121K/yr - $143K/yr

Comply is the leading provider of compliance SaaS and consulting services for the global financial services sector. The Partnership Compliance Consultant will provide consulting services on various compliance and regulatory matters, draft disclosure documents, conduct compliance reviews, and deliver high-quality client content.

Business DevelopmentComplianceConsultingProfessional Services

No H1B

Responsibilities

Perform both on-site and office-based ongoing consulting services to financial services clients

Conduct on-site and remote compliance reviews of investment adviser and/or broker dealer firms

Provide proactive support and timely execution of service deliverables for annual Partnership engagements

Collaborate with our sales representatives by participating in pre-sales prospect phone calls and occasional prospect on-site meetings, and proposal creation

Provide guidance and advice to clients on new or existing Comply products/modules

Prepare and deliver high-quality client content for conferences, webinars, and education materials

Prepare marketing content and marketing materials as needed

Participate in the development and maintenance of Comply products and services

Assist Senior Consultants with various tasks

Mentor and oversee Partnership Associate Consultants

Qualification

Compliance experienceInvestment Advisers Act knowledgeSecurities Exchange Acts knowledgeAnalytical thinkingMicrosoft Office SuiteClient service orientationInterpersonal skills

Required

Law or financial degree and/or equivalent compliance experience

Knowledge and understanding of the Investment Advisers Act of 1940 and/or Securities Exchange Acts, FINRA rules and regulations governing broker dealers

Ability to engage in complex problem solving and analytical thinking as required

Excellent interpersonal skills, with the ability to manage relationships with colleagues and stakeholders at all levels

Demonstrated ability to work effectively within a client service-oriented, collaborative environment

Willingness and ability to periodically travel onsite to clients for consulting duties

Proficient in Microsoft Office Suite (Excel, Word, PowerPoint, & Outlook)