Compliance Consultant - Compliance Advisory

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 and accomplished Compliance Consultant to join our growing team! This person will be responsible for providing consulting services on a variety of compliance and regulatory matters, drafting disclosure documents, and conducting on-site and remote compliance reviews of investment adviser and/or broker dealer firms. 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:

• Perform both on-site and office-based consulting services.

• Conduct on-site and remote compliance reviews of investment adviser and/or broke dealer firms.

• Collaborate with our sales representatives by participating in pre-sales prospect phone calls and occasional prospect on-site meetings including proposal creation.

• Provide guidance and advice to clients on new or existing products/modules.

• Prepare and deliver high-quality client content for conferences, webinars, and education materials.

• Prepare marketing content and marketing materials as needed.

• Participate in the development and maintenance of Comply products and services.

• Assist Senior Consultants with various tasks.

• Mentor and oversee department Associates.

Qualifications:

• Law or financial degree and/or equivalent compliance experience.

• Knowledge and understanding of the Investment Advisers Act of 1940 and/or Securities Exchange Acts, FINRA rules and regulations governing broker dealers.

• Ability to engage in complex problem solving and analytical thinking as required.

• 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)

$80,000 - $110,000 a year

The compensation range for this role is specific to the United States. It 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 $80,000-$110,000 plus applicable bonus/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.