The Role
As a Regulatory Operations Specialist, you'll support client account implementations, manage regulatory inquiries, enhance client experiences, and collaborate with internal teams.
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 looking for a polished, passionate, and empathetic Regulatory Operations Specialist to join our dynamic team and take our regulatory support services to the next level! In this role, you will be responsible for acting as a liaison between Regulatory Support teams to advocate our clients’ needs, managing client account activation implementations to meet deadlines, and gathering client feedback to improve processes. Our ideal candidate is patient with investigating and troubleshooting to effectively resolve issues, has a “How Can I Help” team first not me first mindset, and thrives in a fast-paced environment focused on providing an exceptional support experience. If you are genuinely excited to help clients, problem-solving comes naturally to you, and you strive to exceed client support expectations, let’s connect!
Responsibilities:
- Work with our Comprehensive clients to provide best in class customer service.
- Work closely with firm stakeholders to provide weekly reports regarding on-going matters.
- Build partnerships with Comprehensive Compliance Consultants working alongside the Comprehensive clients to be effective and efficient with all compliance matters.
- Deliver client support on regulatory filing requests by nurturing cross-departmental collaboration with analysts, consultants, and product development teams to enhance client experience.
- Educate clients on the features of the Comply for RIA platform and their included services to help clients optimize value.
- Respond efficiently to client inquiries and maintain exceptional client satisfaction.
- Review and interpret data received from various sources, identifying any discrepancies in data received.
- Provide one-on-one assistance to clients through phone and email interaction as well as scheduled calendar meetings.
- Ability to proactively manage a book of cases, multi-task, triage incoming requests, in a fast-faced environment efficiently with ethical integrity.
- Manage regulatory support case details in our Salesforce case tracking system.
- Respond to client questions, update clients on project status, and troubleshoot issues in a timely manner.
- Collaborate daily with other internal departments such as Client Support, Product, Development, and Compliance teams to our clients’ needs, both immediate and long-term.
- Provide client feedback and internal recommendations to product team for software enhancement.
- Serve as a partner to the Analyst team to manage regulatory filings through its lifecycle.
- Collaborate with senior management to support strategic planning and decision making on compliance related issues.
Skills and Qualifications:
- Must be available to work Monday through Friday, 9-5 (EST)
- Bachelor’s Degree with 0-3 years of work experience.
- Major in Accounting, Finance, Business or Economics is a plus (but not required.)
- Excellent written and verbal communication skills with the ability to listen, articulate, ask questions, and advocate on behalf of our clients.
- Ability to accurately analyze and interpret data.
- Exceptional organizational and time management skills.
- Superior case management, troubleshooting, resolution, and analysis skills.
- Ability to perform complex tasks and prioritize multiple projects.
- Previous experience in a high-volume call environment and/or client support role is a plus!
- Experience with Salesforce.com (or other CRM systems), SaaS technology, MS Office, Python, and SQL software support is a plus!
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
MS Office
Python
Salesforce
SQL
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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.
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