The Role
Provide regulatory compliance consulting to financial services clients: draft disclosures, policies, codes of ethics, manage compliance calendars using internal software, advise on Investment Advisers Act matters, support product guidance, pre-sales calls, webinars, and limited travel for training and conferences.
Summary Generated by Built In
Who Are We:
Comply is the leading provider of compliance SaaS and consulting services for the global financial services sector. With more than 5,000 clients and hundreds of employees across the globe, Comply empowers Chief Compliance Officers and their teams to proactively manage regulatory obligations, mitigate risk, and scale with efficiency and confidence.
Comply serves thousands of global financial services clients including broker-dealers, insurers, investment banks, private funds, RIAs, and wealth managers who rely on Comply offerings to power their compliance programs.
To learn more about Comply, visit comply.com
The Role
Comply is seeking a polished and accomplished Comprehensive 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. Further, the ideal candidate excels at managing competing priorities across multiple client engagements and internal initiatives, consistently delivering high-quality work on time.
Responsibilities:
- Provide proactive consulting services to clients to include drafting disclosure documents, policies and procedures, code of ethics, and providing advice and guidance on a variety of investment adviser compliance and regulatory matters.
- Assist clients in managing their Compliance Calendar and related compliance activities using internally developed software.
- Actively respond to emails and phone inquiries pertaining to client compliance matters.
- Participate in the development of Comply products and services and guide clients on products/modules.
- Collaborate with our sales representatives by participating in pre-sales prospect phone calls.
- Assist with educational webinars and industry conferences to remain current on evolving compliance requirements and provide internal education on key regulatory topics.
- Engage in regulatory small groups and working sessions to help develop, interpret, and support implementation of new rules, guidance, and compliance standards.
- Limited travel as needed based on client relationship requirements (e.g., compliance training) and participation in educational conferences and industry events. Estimated travel is 10% of time.
Skills and Qualifications:
- Law degree and/or equivalent regulatory compliance experience.
- Knowledge and understanding of the Investment Advisers Act of 1940
- 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 Salesforce.
To learn more about our values, mission and the wide-range of perks offered to employees at Comply, visit https://www.comply.com/careers/.
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.
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.
Top Skills
Excel
Outlook
PowerPoint
Salesforce
Word
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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.
