Enhanced Compliance Consultant

The Role

Comply is seeking a polished and accomplished Enhanced Compliance Consultant to join our growing team!

Reporting to our Senior Compliance Director, this person will be responsible for providing consulting services on a variety of compliance and regulatory matters, drafting disclosure documents, reviewing marketing materials, and conducting compliance reviews of investment advisers.

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

• Work with a specified group of investment advisory firms to provide ongoing compliance support.
• Actively respond to emails and phone inquiries pertaining to client matters.
• Review investment adviser regulatory documents, including P&P Manuals, Form ADV, and marketing materials.
• Use CRM (Salesforce), messaging tools (Teams), and internally-developed software to communicate with clients and track deliverables.
• Prepare and deliver high-quality client content for conferences, webinars, and education materials.
• Participate in the development of Comply products and services, plus 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.
• Review and stay up to date on new proposed and approved investment advisory rules and regulations.

Skills And Qualifications

• Significant compliance experience with investment advisers, (ideally) as compliance consultant, securities regulator, or chief compliance officer.
• Comprehensive knowledge of the Investment Advisers Act of 1940, along with (ideally) Securities Exchange Acts, state securities laws governing investment advisers, and FINRA rules.
• Aptitude for engaging in complex problem solving and analytical thinking.
• Excellent interpersonal skills, with the ability to manage relationships with clients, colleagues, and stakeholders at all levels.
• Proficient in Microsoft Office Suite (Word, Excel, PowerPoint, & Outlook) and Salesforce or other CRM.
• Demonstrated ability to work both independently and collaboratively within an environment focused on client services.

Pay

$80,000 - $110,000 a year
The all-in total compensation for this role is $88,000 and $121,000, and is specific to the United States. A reasonable estimate of the base salary range would be $80,000 - $110,000 plus applicable bonus/benefit offerings, etc., as those similarly situated within the Company.

Benefits

To learn more about our values, mission and the wide-range of perks offered to employees at Comply, visit https://www.comply.com/careers/.

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.