The Role
Provide compliance consulting to investment adviser clients: review regulatory documents and marketing materials, conduct compliance reviews, respond to client inquiries, create client education content, support product development and pre-sales, and stay current on investment adviser rules and regulations.
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 Enhanced Compliance Consultant to join our growing team! Reporting to our Senior Compliance Director, this person will be responsible for providing consulting services on a variety of compliance and regulatory matters, drafting disclosure documents, reviewing marketing materials, and conducting compliance reviews of investment advisers. 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.
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.
- Review and stay up to date on new proposed and approved investment advisory rules and regulations.
Skills and Qualifications:
- Significant compliance experience with investment advisers, (ideally) as compliance consultant, securities regulator, or chief compliance officer.
- Comprehensive knowledge of the Investment Advisers Act of 1940, along with (ideally) Securities Exchange Acts, state securities laws governing investment advisers, and FINRA rules
- 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 both independently and collaboratively within an environment focused on client services.
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.
Skills Required
- Significant compliance experience with investment advisers
- Experience as a compliance consultant, securities regulator, or chief compliance officer
- Comprehensive knowledge of the Investment Advisers Act of 1940
- Knowledge of Securities Exchange Acts, state securities laws, and FINRA rules
- Proficient in Microsoft Office Suite (Word, Excel, PowerPoint, Outlook) and Salesforce or other CRM
- Experience using Microsoft Teams, CRM systems, and internally-developed compliance software
- Aptitude for complex problem solving and analytical thinking
- Excellent interpersonal skills and ability to manage client relationships
- Ability to prepare and deliver client-facing content and participate in pre-sales calls
- Authorized to work for any employer in the United States; no visa sponsorship available
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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.
