Comply
201 - 500 employees
📋 Compliance
💳 Fintech
☁️ SaaS
Compliance • Fintech • SaaS
Comply is a regulatory compliance technology company (formerly ComplySci and RIA in a Box) that offers an integrated compliance platform and services for financial services firms. The platform provides solutions for employee compliance (trade monitoring, code of ethics, conflicts of interest), firm compliance (compliance calendar, risk assessments, annual review, policy builder), communications & archiving, political contribution and outside business activity monitoring, case management, reporting & analytics, and ComplyAI agentic capabilities (MCP Server) enabling teams to build custom AI agents. Comply serves private funds, wealth management & RIAs, broker-dealers, investment banks, endowments and other financial institutions, and provides services including registration, regulatory filings, managed services, consulting, and education.
Compliance Consultant
🕒 July 27
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Comply
201 - 500 employees
📋 Compliance
💳 Fintech
☁️ SaaS
Compliance • Fintech • SaaS
Comply is a regulatory compliance technology company (formerly ComplySci and RIA in a Box) that offers an integrated compliance platform and services for financial services firms. The platform provides solutions for employee compliance (trade monitoring, code of ethics, conflicts of interest), firm compliance (compliance calendar, risk assessments, annual review, policy builder), communications & archiving, political contribution and outside business activity monitoring, case management, reporting & analytics, and ComplyAI agentic capabilities (MCP Server) enabling teams to build custom AI agents. Comply serves private funds, wealth management & RIAs, broker-dealers, investment banks, endowments and other financial institutions, and provides services including registration, regulatory filings, managed services, consulting, and education.
📋 Description
• Provide ongoing compliance support to investment advisory firms • Review investment adviser regulatory documents • Communicate with clients using CRM and messaging tools • Prepare high-quality client content for various events • Participate in development of Comply products and services
🎯 Requirements
• Significant compliance experience with investment advisers • Comprehensive knowledge of the Investment Advisers Act of 1940 • Excellent interpersonal skills • Proficient in Microsoft Office Suite and Salesforce • Ability to work independently and collaboratively
🏖️ Benefits
• Health insurance • Paid time off • Flexible work arrangements • Professional development opportunities
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