Compliance Consultant - Comprehensive

Summary

Join COMPLY, a high-growth compliance technology company, as a Compliance Consultant. You will provide proactive consulting services to clients, including drafting documents and offering compliance advice. Responsibilities involve managing client compliance calendars, responding to inquiries, preparing educational materials, and collaborating with sales. The ideal candidate possesses a law degree or equivalent experience, understands relevant regulations, and excels in problem-solving and client communication. COMPLY offers a comprehensive benefits package, including full medical, dental, and vision coverage, unlimited PTO, and remote work flexibility.

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 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