Comprehensive Consultant

About the role

Comply is the leading provider of compliance SaaS and consulting services for the global financial services sector, serving over 5,000 clients including broker‑dealers, insurers, investment banks, private funds, RIAs, and wealth managers. The company empowers Chief Compliance Officers to manage regulatory obligations, mitigate risk, and scale with efficiency and confidence. Comply is seeking a Compliance Consultant to help financial services clients build, strengthen, and maintain compliance programs through expert advisory work. This client‑facing individual contributor role requires deep investment adviser compliance expertise and the ability to translate complex regulatory requirements into clear, practical guidance.

Responsibilities

• Advise investment adviser clients on drafting disclosure documents, policies and procedures, and codes of ethics tailored to each firm’s structure and regulatory obligations.
• Manage client compliance calendars and related activities through Comply’s platform, helping clients stay ahead of filing deadlines, exam cycles, and regulatory requirements.
• Respond to client email and phone inquiries on compliance matters, acting as a knowledgeable, reliable resource on Investment Advisers Act questions and day‑to‑day regulatory issues.
• Collaborate with Comply’s product teams to shape platform features and modules, lending regulatory expertise to development decisions and guiding clients on how to get the most from the tools.
• Join sales representatives on pre‑sales calls to help prospective clients understand Comply’s consulting capabilities and how they map to the prospect’s compliance needs.
• Develop and present educational webinars and industry conference sessions on evolving compliance requirements, contributing to Comply’s thought leadership.
• Participate in regulatory working groups to interpret new rules and guidance, helping develop standards and supporting clients through periods of regulatory change.
• Stay current on SEC rulemaking and industry trends, and bring insights back to the team through internal education and knowledge sharing.
• In the first 90 days, familiarize yourself with Comply’s platform and client roster, handle client inquiries with confidence, independently manage a client portfolio, contribute to policy drafting or advisory engagements, deliver high‑quality work across multiple clients, participate in a webinar or internal regulatory update, and identify opportunities to deepen client relationships or improve processes.

Requirements

• Deep working knowledge of the Investment Advisers Act of 1940 and related SEC regulations — ability to interpret rules, advise clients on obligations, and draft compliant documentation.
• J.D. or equivalent regulatory compliance experience — acquired through in‑house compliance roles, regulatory practice, or compliance consulting.
• Strong analytical and problem‑solving ability — work through complex regulatory questions and translate them into clear, actionable guidance.
• Excellent interpersonal skills with a track record of managing client and stakeholder relationships at all levels, from day‑to‑day contacts to senior leadership.
• Demonstrated ability to thrive in a client service environment: responsive, organized, and effective