Compliance Consultant

Summary

Join COMPLY, a leading compliance solutions provider, as a Compliance Consultant! We are seeking a motivated and detail-oriented individual passionate about delivering high-quality services to clients. You will provide proactive consulting services, including drafting documents and offering compliance advice. This role involves collaborating with colleagues and clients, utilizing internal software and contributing to product development. We offer comprehensive benefits, unlimited PTO, paid bonding leave, and 100% remote work flexibility with a WFH stipend. The ideal candidate possesses a law degree or equivalent experience and a strong understanding of relevant regulations.

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