The Role
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:
We are seeking a consultative, high-impact sales professional to support new firm registration and ongoing compliance solutions. This role sits at the intersection of regulatory expertise and relationship driven selling, helping prospects navigate complex regulatory decisions with confidence.
You will work with RIA founders, compliance officers, and operations leaders, guiding them from firm launch through long-term compliance partnerships. Success in this role requires curiosity, credibility, and the ability to translate regulatory complexity into clear business value.
Responsibilities:
- Own the full sales cycle for new registration and ongoing compliance solutions, from discovery through close
- Engage with prospects launching RIAs or seeking to modernize their compliance programs
- Lead thoughtful discovery conversations to understand firm structure, growth plans, and regulatory needs
- Position Comply as a long-term compliance partner, not just a point solution
- Educate prospects on SEC and state registration requirements and ongoing compliance obligations
- Collaborate closely with marketing, partnerships, and customer success to drive pipeline and retention
- Maintain accurate pipeline management and forecasting in Salesforce
- Stay current on regulatory trends impacting RIAs and financial firms
Skills and Qualifications:
- 3+ years of B2B sales experience (SaaS, fintech, regtech, or financial services preferred)
- Experience selling to RIAs, financial advisors, or compliance/operations leaders is a strong plus
- Proven ability to manage a full sales cycle in a high-volume environment
- Strong communication skills: written, verbal, and presentation
- Familiarity with CRM tools (Salesforce preferred)
- A consultative seller who leads with curiosity and credibility
- Comfortable selling into regulated environments and complex buying cycles
- Confident speaking with founders and senior stakeholders
- Organized, proactive, and accountable for outcomes
- Motivated by helping firms make informed, long-term decisions
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.
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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.
