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Comply · 11 hours ago

Compliance Consultant, Enhanced Consulting Services

United States

Full-time

Remote

Mid, Senior Level

$88K/yr - $121K/yr

Comply is the leading provider of compliance SaaS and consulting services for the global financial services sector. They are seeking an Enhanced Compliance Consultant to provide consulting services on compliance and regulatory matters, draft documents, and conduct compliance reviews for investment advisers.

Business DevelopmentComplianceConsultingProfessional Services

No H1B

Responsibilities

Work with a specified group of investment advisory firms to provide ongoing compliance support

Actively respond to emails and phone inquiries pertaining to client matters

Review investment adviser regulatory documents, including P&P Manuals, Form ADV, and marketing materials

Use CRM (Salesforce), messaging tools (Teams), and internally-developed software to communicate with clients and track deliverables

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

Participate in the development of Comply products and services, plus guide clients on products/modules

Collaborate with our sales representatives by participating in pre-sales prospect phone calls

Utilize your knowledge of investment advisory regulation, compliance, and the RIA business model

Review and stay up to date on new proposed and approved investment advisory rules and regulations

Qualification

Compliance experienceInvestment Advisers Act knowledgeAnalytical thinkingMicrosoft Office SuiteInterpersonal skillsSalesforce proficiencyClient service focus

Required

Significant compliance experience with investment advisers, (ideally) as compliance consultant, securities regulator, or chief compliance officer

Comprehensive knowledge of the Investment Advisers Act of 1940, along with (ideally) Securities Exchange Acts, state securities laws governing investment advisers, and FINRA rules

Aptitude for engaging in complex problem solving and analytical thinking

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

Proficient in Microsoft Office Suite (Word, Excel, PowerPoint, & Outlook) and Salesforce or other CRM

Demonstrated ability to work both independently and collaboratively within an environment focused on client services