The Role
Who Are We:
We are COMPLY.
For compliance people.
COMPLY is the leading global provider of comprehensive regulatory compliance software and solutions for the financial services sector. Our OneCOMPLY™ platform provides an all-in-one approach to address firm and employee compliance requirements through a configurable and scalable software-as-a-service (SaaS) platform coupled with expert consulting services.
COMPLY serves thousands of financial services clients including Broker Dealers, Investment Banks, Private Funds, RIAs, and Wealth Managers who rely on COMPLY to power their compliance programs.
To learn more about COMPLY, visit COMPLY.com
COMPLY is seeking a polished and accomplished Compliance Consultant to join our growing
team! Our ideal candidate is motivated, detail-oriented, and passionate about delivering high-quality services to our clients by offering innovative and unique solutions to overcome complex challenges. This person will be responsible for providing proactive consulting services to assigned department clients. Such services include drafting disclosure documents, policies and procedures, code of ethics, and providing advice and guidance on a variety of compliance and regulatory matters.
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.
Qualifications
- 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
Talk about company perks!
- Phenomenal Benefits: COMPLY Company offers a comprehensive benefits package, including full medical, dental, and vision coverage at little to no cost, unlimited PTO, discounts on pet insurance, and more!
- 100% Remote Flexibility: We offer a virtual onboarding experience with a stipend to help work-from-home set up your work-from-home office.
- Employee Centric Culture: We host virtual happy hours and team bonding events to keep our fun COMPLY culture alive.
- High Growth Startup: There is plenty of room for you to impact the organization and advance your career positively!
COMPLY is an Equal Opportunity Employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, disability, sex, sexual orientation, gender identity, or national origin. Nothing in this job posting should be construed as an offer or guarantee of employment.
The company offers a wide range of perks including:
- 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
Applicants must be authorized to work for any employer in the United States. Currently, we are unable to sponsor or take over sponsorship of an employment Visa at this time.
COMPLY is aware of scammers posing as COMPLY employees and extending job offers via direct messaging, texts and social media platforms. These are fraudulent and should be treated as such. To learn more about this, please review our Statement of Fraudulent Job Offers.
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The Company
What We Do
At COMPLY, we pride ourselves on being the champion for compliance professionals. Merging technology, consulting and education, we help clients navigate the ever-changing regulatory environment. Our portfolio of firms includes ComplySci, RIA in a Box, National Regulatory Services (NRS) and illumis, whose more than 7,000 clients include some of the world’s largest financial institutions. Clients throughout our portfolio of firms enjoy access to our full suite of industry-leading governance, risk and compliance (GRC) consulting, technology, managed services, analytics and outsourcing solutions. Learn more at comply.com.
