Partnership Compliance Consultant

🕒 Maio 28

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COMPLY

SiteLinkedInTodas as Vagas

201 - 500 funcionários

📋 Conformidade

💸 Finanças

☁️ SaaS

Compliance • Finance • SaaS

A COMPLY é um provedor de soluções de conformidade abrangentes, especializado em ajudar empresas de serviços financeiros a navegar pelas regulamentações estaduais ou da SEC. Oferecendo software aliado a consultoria, educação e suporte, a COMPLY atende a uma ampla gama de clientes, incluindo corretores, fundos de hedge, companhias de seguros, consultores de investimento e empresas de private equity. Suas soluções incluem gestão de programas de conformidade, monitoramento de conformidade de funcionários, avaliações de risco, preenchimento de documentos regulatórios e serviços educacionais para aprimorar programas de conformidade. Com um forte foco em expertise regulatória, a COMPLY capacita as empresas a manter conformidade e gerenciar riscos de maneira eficaz.

Descrição

• Perform both on-site and office-based ongoing consulting services to financial services clients. • Conduct on-site and remote compliance reviews of investment adviser and/or broker dealer firms. • Provide proactive support and timely execution of service deliverables for annual Partnership engagements. • Collaborate with our sales representatives by participating in pre-sales prospect phone calls and occasional prospect on-site meetings, and proposal creation. • Provide guidance and advice to clients on new or existing Comply products/modules. • Prepare and deliver high-quality client content for conferences, webinars, and education materials. • Prepare marketing content and marketing materials as needed. • Participate in the development and maintenance of Comply products and services. • Assist Senior Consultants with various tasks. • Mentor and oversee Partnership Associate Consultants.

🎯 Requisitos

• Law or financial degree and/or equivalent compliance experience. • Knowledge and understanding of the Investment Advisers Act of 1940 and/or Securities Exchange Acts, FINRA rules and regulations governing broker dealers. • 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. • Willingness and ability to periodically travel onsite to clients for consulting duties • Proficient in Microsoft Office Suite (Excel, Word, PowerPoint, & Outlook)