Comply is seeking a highly experienced and accomplished Partnership Executive Consultant to join our growing Regulatory Services team. This role represents the highest level within the Consultant track and is designed for a seasoned compliance professional who combines deep regulatory expertise with the ability to influence, guide, and elevate both client outcomes and internal capabilities.
Reporting to senior leadership (VP/SVP level), the Partnership Executive Consultant will serve as a senior advisor to clients while also acting as a key internal resource across the organization. This individual will maintain a portfolio of client relationships and deliver high-quality consulting services, while contributing to firmwide initiatives, supporting the development and implementation of new service offerings, and serving as a trusted source of insight and practical guidance for colleagues.
The ideal candidate brings extensive experience under the Investment Advisers Act of 1940, strong industry credibility, and a demonstrated ability to translate complex regulatory requirements into clear, actionable, and business-oriented solutions.
Responsibilities:
- Provide senior-level compliance consulting services to investment advisers and, where applicable, broker-dealers and private fund managers.
- Manage ongoing client relationships and deliver high-quality service across annual engagements and project-based work.
- Conduct and lead complex compliance reviews (remote and on-site), including synthesizing findings into clear, actionable recommendations for client stakeholders.
- Draft and review disclosure documents, policies and procedures, and other regulatory materials.
- Advise clients on regulatory developments, risk areas, and industry best practices.
- Contribute to the development, enhancement, and rollout of new and innovative service offerings.
- Support the tactical implementation of new services, including development of methodologies, documentation, and internal guidance.
- Assist in the creation and delivery of internal training to support consistent execution across the consulting team.
- Serve as a senior subject matter resource for consultants, VPs, and Directors across the organization.
- Provide practical, experience-based guidance on complex regulatory and client issues.
- Support team members by helping troubleshoot challenging scenarios and offering insight grounded in industry best practices.
- Contribute to maintaining high standards of quality and consistency across client deliverables.
- Partner with sales teams to support business development efforts, including:
- Assisting with scoping of engagements and proposal development
- Participating in select prospect calls and meetings
- Provide subject matter expertise to help align client needs with Comply’s services and solutions.
- Represent Comply externally through conference presentations, webinars, and industry events.
- Develop written content, including articles, alerts, and educational materials.
- Monitor and analyze regulatory developments and emerging trends, and translate them into actionable insights for clients and internal teams.
Sales & Business Support
Skills and Qualifications:
- Law degree or advanced compliance experience required.
- Significant experience (typically 8–12+ years) in investment adviser compliance, with strong working knowledge of the Investment Advisers Act of 1940.
- Experience with private funds strongly preferred; familiarity with CFTC/NFA, and/or FINRA requirements is a plus.
- Prior compliance consulting experience a plus.
- Demonstrated ability to analyze complex regulatory issues and provide clear, practical guidance.
- Strong interpersonal and communication skills, with the ability to engage effectively across all levels of an organization.
- Proven ability to operate as a senior individual contributor in a collaborative, client-service environment.
- Experience contributing to service development, training, or internal initiatives is highly valued.
- Willingness and ability to travel as needed.
- Proficiency in Microsoft Office Suite (Excel, Word, PowerPoint, Outlook).
Skills Required
- Law degree or advanced compliance experience
- Significant experience (typically 8-12+ years) in investment adviser compliance
- Experience with private funds strongly preferred
- Demonstrated ability to analyze complex regulatory issues
- Proficiency in Microsoft Office Suite
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.
