Compliance Consultant - Enhanced Consulting Services

Who Are We:

Comply is the leading provider of compliance SaaS and consulting services for the global financial services sector. With more than 5000 clients and hundreds of employees across the globe Comply empowers Chief Compliance Officers and their teams to proactively manage regulatory obligations mitigate risk and scale with efficiency and confidence.

Comply serves thousands of global financial services clients including broker-dealers insurers investment banks private funds RIAs and wealth managers who rely on Comply offerings to power their compliance programs.

To learn more about Comply visit comply.com

The Role:

Comply is seeking a polished and accomplished Enhanced Compliance Consultant to join our growing team! Reporting to our Senior Compliance Director this person will be responsible for providing consulting services on a variety of compliance and regulatory matters drafting disclosure documents reviewing marketing materials and conducting compliance reviews of investment advisers. Our ideal candidate is motivated detail-oriented and passionate about delivering high-quality services to our clients by offering innovative and unique solutions to overcome complex challenges.

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.

Skills and Qualifications:

• 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.

$88000 - $121000 a year

The all-in total compensation for this role is $88000 and $121000 and is specific to the United States. A reasonable estimate of the base salary range would be $80000 - $110000 plus applicable bonus/benefit offerings etc. as those similarly situated within the Company. It takes into account a wide range of factors that are considered in making compensation decisions including but not limited to skill sets training licensure and certification and experience.

To learn more about our values mission and the wide-range of perks offered to employees at Comply visit https://www.comply.com/careers/ .

Comply is an Equal Opportunity Employer. All qualified applicants will receive consideration for employment without regard to race color religion disability sex sexual orientation gender identity or national origin. Nothing in this job posting should be construed as an offer or guarantee of employment.

Applicants must be authorized to work for any employer in the United States. Currently we are unable to sponsor or take over sponsorship of an employment Visa at this time.

Comply is aware of scammers posing as Comply employees and extending job offers via direct messaging texts and social media platforms. These are fraudulent and should be treated as such. To learn more about this please review our Statement of Fraudulent Job Offers.