Compliance Consultant

Summary

Join COMPLY, a champion for compliance professionals, as a Compliance Consultant! This role involves providing consulting services on compliance and regulatory matters, drafting disclosure documents, and conducting compliance reviews. You will collaborate with sales, advise clients, create educational content, and contribute to product development. The ideal candidate is detail-oriented and passionate about delivering high-quality services. COMPLY offers comprehensive benefits, unlimited PTO, paid bonding leave, and 100% remote work flexibility with a WFH stipend.

Requirements

• Law or financial 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)

Responsibilities

• Perform both on-site and office-based consulting services
• Conduct on-site and remote compliance reviews of investment adviser and/or broke dealer firms
• Collaborate with our sales representatives by participating in pre-sales prospect phone calls and occasional prospect on-site meetings including proposal creation
• Provide guidance and advice to clients on new or existing products/modules
• Prepare and deliver high-quality client content for conferences, webinars, and education materials
• Prepare marketing content and marketing materials as needed
• Participate in the development and maintenance of Comply products and services
• Assist Senior Consultants with various tasks
• Mentor and oversee department Associates

Benefits

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