Senior Compliance Consultant - Private Fund
United States
Regulatory Services /
Full-Time /
Remote
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 Senior Compliance Consultant - Private Fund to join our growing team! Reporting to the Team Manager, Consulting Services, the Senior Consultant will be responsible for providing consulting services to assigned department clients. Such services include the preparation and filing of investment adviser and broker-dealer registration documents, drafting of disclosure documents, policies and procedures, code of ethics, and providing consulting services on a variety of compliance and regulatory matters. The Senior Consultant will act as leading role on significant client engagements, including on-site compliance reviews of investment advisers, private fund advisers, and broker dealer firms. Where appropriate, the Senior Consultant will assist in the training and development of department Associates and Consultants, and will participate in the development and maintenance of COMPLY products and services.
Responsibilities
- Work with a specified group of RIA firms to provide ongoing compliance support.
- Actively respond to emails and phone inquiries pertaining to client matters.
- Customize Form ADV filings and review existing firm regulatory documents.
- Use CRM (Salesforce), messaging tools (Slack), as well as internally developed software to communicate with clients and track client progress.
- Prepare and deliver high-quality client content for conferences, webinars, and education materials.
- Participate in the development of COMPLY products and services & guide clients on products/modules.
- Collaborate with our sales representatives by participating in pre-sales prospect phone calls.
- Utilize your knowledge of investment advisory regulation, compliance, and the RIA business model.
Qualifications
- Knowledge and understanding of the Investment Advisers Act of 1940 and/or Securities Exchange Acts, FINRA rules and regulations governing broker-dealers.
- Private Fund expertise is required.
- Travel is an integral part of this role, and will be based on individual client needs.
- This role offers the opportunity for frequent regional travel onsite
- Law or financial degree and/or equivalent compliance experience.
- 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, & and Outlook) and ideally Salesforce
$140,000 - $170,000 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 $140,000-$170,000 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.
