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Compliance Consultant

72% Flex

Remote:

Full Remote

Contract:

Full time

Work from:

United States

Offer summary

Qualifications:

In-depth knowledge of legal regulations, Client service-oriented and collaborative mindset.

Key responsabilities:

Provide compliance support to RIA firms
Respond to client inquiries promptly
Customize regulatory documents for firms
Communicate with clients using CRM tools
Participate in product development and guide clients

COMPLY Financial Services SME https://www.comply.com/

201 - 500 Employees

See more COMPLY offers

Job description

Your missions

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! Reporting into our Team Manager, this person will be responsible for providing consulting services on a variety of compliance and regulatory matters, drafting disclosure documents, and conducting compliance reviews of investment adviser 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

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

In-depth understanding of the Investment Advisers Act of 1940, Securities Exchange Acts and other regulations governing investment advisers.

Demonstrated ability to work effectively within a client service-oriented, collaborative environment.

Excellent interpersonal skills, including the ability to manage relationships with colleagues and stakeholders at all levels.

Aptitude for complex problem solving and analytical thinking.

Proficiency in Microsoft Office Suite (Excel, Word, PowerPoint, & Outlook) and ideally Salesforce.

Extensive investment adviser compliance experience.

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.