Comply
Enhanced Compliance Consultant
United States
No sponsorship$80k-$110kDetected 407 days ago
SalesforceCRMExcelProblem SolvingMicrosoft Office
About the role
- Comply is seeking a polished and accomplished Enhanced Compliance Consultant to join our growing team!
- 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.
- Review investment adviser regulatory documents, including P&P Manuals, Form ADV, and marketing materials.
- Collaborate with our sales representatives by participating in pre-sales prospect phone calls.
- With more than 5,000 clients and hundreds of employees across the globe, Comply empowers Chief Compliance Officers and their teams to proactively manage regulatory obligations, mitigate risk, and scale with efficiency and confidence.
Requirements
- 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
- Demonstrated ability to work both independently and collaboratively within an environment focused on client services.
- Applicants must be authorized to work for any employer in the United States.
- 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.
Nice to have
- Participate in the development of Comply products and services, plus guide clients on products/modules.
Compensation
- $80k-$110k
Benefits
- Prepare and deliver high-quality client content for conferences, webinars, and education materials.
- To learn more about our values, mission and the wide-range of perks offered to employees at Comply, visit https://www.comply.com/careers/.
- All qualified applicants will receive consideration for employment without regard to race, color, religion, disability, sex, sexual orientation, gender identity, or national origin.
Company info
- Currently, we are unable to sponsor or take over sponsorship of an employment Visa at this time.
- Comply is the leading provider of compliance SaaS and consulting services for the global financial services sector.
Equal opportunity
- Comply is an Equal Opportunity Employer.
Visa & Work Authorization
- Applicants must be authorized to work for any employer in the United States.
This listing is sourced directly from Comply's careers page and normalized into a canonical job model.