Partnership Executive

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COMPLY

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201 - 500 Mitarbeiter

📋 Compliance

💸 Finanzen

☁️ SaaS

Compliance • Finance • SaaS

COMPLY ist ein umfassender Anbieter von Compliance-Lösungen, der sich darauf spezialisiert hat, Finanzdienstleistungsunternehmen bei der Navigation durch staatliche oder SEC-Compliance-Vorschriften zu unterstützen. Durch die Kombination von Software mit Beratung, Bildung und Unterstützung bedient COMPLY eine breite Palette von Kunden, darunter Broker-Dealer, Hedgefonds, Versicherungsgesellschaften, Anlageberater und Private-Equity-Firmen. Ihre Lösungen umfassen das Management von Compliance-Programmen, die Überwachung der Mitarbeiter-Compliance, Risikobewertungen, behördliche Einreichungen und Bildungsdienste zur Verbesserung von Compliance-Programmen. Mit einem starken Fokus auf regulatorische Expertise befähigt COMPLY Unternehmen, Compliance aufrechtzuerhalten und Risiken effektiv zu managen.

Beschreibung

• Provide senior-level compliance consulting services to investment advisers and, where applicable, broker-dealers and private fund managers. • Manage ongoing client relationships and deliver high-quality service across annual engagements and project-based work. • Conduct and lead complex compliance reviews (remote and on-site), including synthesizing findings into clear, actionable recommendations for client stakeholders. • Draft and review disclosure documents, policies and procedures, and other regulatory materials. • Advise clients on regulatory developments, risk areas, and industry best practices. • Contribute to the development, enhancement, and rollout of new and innovative service offerings. • Support the tactical implementation of new services, including development of methodologies, documentation, and internal guidance. • Assist in the creation and delivery of internal training to support consistent execution across the consulting team. • Serve as a senior subject matter resource for consultants, VPs, and Directors across the organization. • Provide practical, experience-based guidance on complex regulatory and client issues. • Support team members by helping troubleshoot challenging scenarios and offering insight grounded in industry best practices. • Contribute to maintaining high standards of quality and consistency across client deliverables. • Partner with sales teams to support business development efforts.

🎯 Anforderungen

• Law degree or advanced compliance experience required. • Significant experience (typically 8–12+ years) in investment adviser compliance, with strong working knowledge of the Investment Advisers Act of 1940. • Experience with private funds strongly preferred; familiarity with CFTC/NFA, and/or FINRA requirements is a plus. • Prior compliance consulting experience a plus. • Demonstrated ability to analyze complex regulatory issues and provide clear, practical guidance. • Strong interpersonal and communication skills, with the ability to engage effectively across all levels of an organization. • Proven ability to operate as a senior individual contributor in a collaborative, client-service environment. • Experience contributing to service development, training, or internal initiatives is highly valued. • Willingness and ability to travel as needed. • Proficiency in Microsoft Office Suite (Excel, Word, PowerPoint, Outlook).

🏖️ Vorteile

• To learn more about our values, mission and the wide-range of perks offered to employees at Comply, visit https://www.comply.com/careers/. • Health insurance • Retirement plans • Professional development • Bonuses • Flexible work arrangements