COMPLY · 2 days ago

Compliance Consultant - Comprehensive

United States

Full-time

Remote

Entry, Mid Level

$80K/yr - $110K/yr

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Responsibilities

Assist clients in managing their Compliance Calendar using internally-developed software.

Actively respond to emails and phone inquiries pertaining to client compliance matters.

Assist with the preparation of conference/education materials and deliver the content when required.

Participate in the development of COMPLY products and services & guide clients on products/modules.

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

Qualification

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Law degreeCompliance experienceInvestment Advisers ActSecurities Exchange ActsFINRA rulesMicrosoft Office SuiteSalesforce

Required

Law 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.

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