Associate Compliance Consultant

We are COMPLY.

For compliance people.

We pride ourselves on being the champion for compliance professionals. Merging technology, consulting and education, we help clients navigate the ever-changing regulatory environment. We serve more than 7,000 clients globally, through our solutions including ComplySci, RIA in a Box, National Regulatory Service (NRS) and illumis. We are a high-growth organization and have been recognized with numerous awards including by Inc. 5000, Institutional Asset Manager Awards, Private Equity Wire Awards, and the Women in Data & Technology Awards.

COMPLY is made up of 350+ professionals worldwide. In the US alone, we have team members in 45 states. Employees of COMPLY have access to comprehensive benefits, unlimited PTO, paid bonding leave and 100% remote work flexibility with a WFH stipend.

Come join our team of talented innovators working together to forge the next generation of compliance.

To learn more about COMPLY, visit COMPLY.com.

COMPLY is seeking a polished Associate Compliance Consultant to join our growing team! Reporting into our Team Manager, this person will be responsible for assisting the team’s Compliance Consultants in providing consulting services on a variety of compliance and regulatory matters. The Associate Consultant will assist in drafting disclosure documents, preparing, and filing investment adviser registration documents, and other various department tasks.  Our ideal candidate is motivated, organized, detail-oriented, and passionate about delivering high-quality services and support to our clients by supporting team members in offering innovative and unique solutions to overcome complex challenges.

Responsibilities

• Assist Senior Consultants in performing both on-site and office-based consulting services.

• Perform research and maintain knowledge on all regulations and manage large and complex projects to achieve all compliance objectives.

• Schedule client calls and follow-up activities for Senior Consultants.

• Assist in the preparation of high-quality client content (presentations, marketing materials, etc.) for conferences, webinars, and education materials.  

• Provide support to Senior Consultants for various tasks. 

Requirements:

• 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). 

• Strong analytical and critical thinking skills.

• Bachelor’s degree in any of Accounting, Economics, Law, or Finance, or in a related discipline.

$65,000 - $75,000 semi monthly

The compensation range for this role is specific to the United States and takes into account a wide range of factors that are considered in making compensation decisions including, but not limited to, skill sets, training, licensure and certification, and experience. A reasonable estimate of the base salary range for this role would be $65,000-$75,000 plus applicable commission/benefits offerings, etc as those similarly situated within the Company.

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.