Partnership Executive

🔥 17 minutes ago

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Comply

WebsiteLinkedInAll Job Openings

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 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). • 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. • 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. • Partner with sales teams to support business development efforts.

🎯 Requirements

• 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. • 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).

🏖️ Benefits

• Equal Opportunity Employer • Health insurance • 401(k) matching • Paid time off • Professional development opportunities