Remote Compliance Consultant

Summary

Join our team of talented innovators working together to forge the next generation of compliance at COMPLY., a high-growth organization serving more than 7,000 clients globally.

Requirements

• In-depth understanding of the Investment Advisers Act of 1940, Securities Exchange Acts and other regulations governing investment advisers
• Demonstrated ability to work effectively within a client service-oriented, collaborative environment
• Excellent interpersonal skills, including the ability to manage relationships with colleagues and stakeholders at all levels
• Aptitude for complex problem solving and analytical thinking
• Proficiency in Microsoft Office Suite (Excel, Word, PowerPoint, & Outlook) and ideally Salesforce
• Extensive investment adviser compliance experience

Responsibilities

• Work with a specified group of RIA firms to provide ongoing compliance support
• Actively respond to emails and phone inquiries pertaining to client matters
• Customize Form ADV filings and review existing firm regulatory documents
• Use CRM (Salesforce), messaging tools (Slack), as well as internally developed software to communicate with clients and track client progress
• Prepare and deliver high-quality client content for conferences, webinars, and education materials
• 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
• Utilize your knowledge of investment advisory regulation, compliance, and the RIA business model

Benefits

• Comprehensive benefits
• Unlimited PTO
• Paid bonding leave
• 100% remote work flexibility with a WFH stipend