Compliance Consultant - Enhanced

Summary

Join COMPLY, a leading global provider of regulatory compliance software and solutions, as a Compliance Consultant! Reporting to the Team Manager, you will provide consulting services on compliance and regulatory matters, draft disclosure documents, review marketing materials, and conduct compliance reviews. The ideal candidate is motivated, detail-oriented, and passionate about delivering high-quality services. You will work with investment advisory firms, respond to client inquiries, and review regulatory documents. You will also prepare client content, participate in product development, collaborate with sales, and utilize your knowledge of investment advisory regulation. This role offers a competitive salary and a wide range of benefits.

Requirements

• Significant compliance experience with investment advisers, (ideally) as compliance consultant or chief compliance officer
• Knowledge and understanding of the Investment Advisers Act of 1940, along with (ideally) Securities Exchange Acts, FINRA rules and state regulations governing investment advisers
• Aptitude for engaging in complex problem solving and analytical thinking
• Excellent interpersonal skills, with the ability to manage relationships with clients, colleagues, and stakeholders at all levels
• Proficient in Microsoft Office Suite (Word, Excel, PowerPoint, & Outlook) and Salesforce or other CRM
• Demonstrated ability to work effectively within a client service-oriented, collaborative environment

Responsibilities

• Work with a specified group of investment advisory firms to provide ongoing compliance support
• Actively respond to emails and phone inquiries pertaining to client matters
• Review investment adviser regulatory documents, including P&P Manuals, Form ADV, and marketing materials
• Use CRM (Salesforce), messaging tools (Teams), and internally-developed software to communicate with clients and track deliverables
• Prepare and deliver high-quality client content for conferences, webinars, and education materials
• Participate in the development of COMPLY products and services, plus 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 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