Compliance Consultant - Compliance Advisory
United States
Regulatory Services /
Full-Time /
Remote
Who Are We:
We are COMPLY.
For compliance people.
COMPLY is the leading global provider of comprehensive regulatory compliance software and solutions for the financial services sector. Our OneCOMPLYTM platform provides an all-in-one approach to address firm and employee compliance requirements through a configurable and scalable software-as-a-service (SaaS) platform coupled with expert consulting services.
COMPLY serves thousands of financial services clients including Broker Dealers, Investment Banks, Private Funds, RIAs, and Wealth Managers who rely on COMPLY to power their compliance programs.
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 broker 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)
$90,000 - $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 $90,000-$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.
COMPLY offers a wide range of company perks including:
- Comprehensive medical, dental and vision insurance at little to no cost starting on day one
- 401k with a company match
- Supplemental benefits at a discounted rate including home, auto and pet insurance
- Unlimited PTO
- Professional Development reimbursements
- Remote opportunities available for most positions
- Time to get together in person for company happy hours, team offsites and more
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.
