Compliance Consultant

Summary

Join COMPLY, a high-growth organization championing compliance professionals, as a Compliance Consultant. You will provide proactive consulting services to clients, assisting with compliance calendars, responding to inquiries, preparing educational materials, and collaborating on product development. This role requires a law degree or equivalent experience, strong knowledge of relevant regulations, and excellent interpersonal skills. COMPLY offers comprehensive benefits, unlimited PTO, paid bonding leave, and 100% remote work flexibility with a WFH stipend. The ideal candidate is motivated, detail-oriented, and passionate about delivering high-quality services.

Requirements

• 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

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

Benefits

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