The Compliance Consultant will provide compliance consulting services, review regulatory documents, and support investment advisory firms in achieving compliance objectives.
Who Are We:
We are COMPLY.
For compliance people.
COMPLY is the leading global provider of comprehensive regulatory compliance software and solutions for the financial services sector. Our OneCOMPLY™ platform provides an all-in-one approach to address firm and employee compliance requirements through a configurable and scalable software-as-a-service (SaaS) platform coupled with expert consulting services.
COMPLY serves thousands of financial services clients including Broker Dealers, Investment Banks, Private Funds, RIAs, and Wealth Managers who rely on COMPLY to power their compliance programs.
To learn more about COMPLY, visit COMPLY.com
COMPLY is seeking a polished and accomplished Compliance Consultant to join our growing team! Reporting into our Team Manager, 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 adviser firms. 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.
Qualifications:
- Significant compliance experience with investment advisers, (ideally) as compliance consultant or chief compliance officer.
- Knowledge and understanding of the Investment Advisers Act of 1940, along with (ideally) Securities Exchange Acts, FINRA rules and state regulations governing investment advisers.
- 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 effectively within a client service-oriented, collaborative environment.
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.
The company offers a wide range of perks including:
- Comprehensive medical, dental and vision insurance at little to no cost starting on day one
- 401k with a company match
- Supplemental benefits at a discounted rate including home, auto and pet insurance
- Unlimited PTO
- Professional Development reimbursements
- Remote opportunities available for most positions
- Time to get together in person for company happy hours, team offsites and more
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.
Top Skills
CRM
Microsoft Office Suite
Salesforce
Software As A Service (Saas)
Teams
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