Compliance Consultant

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COMPLY

WebsiteLinkedInAll Job Openings

201 - 500 employees

📋 Compliance

💸 Finance

☁️ SaaS

Compliance • Finance • SaaS

COMPLY is a comprehensive compliance solutions provider specializing in helping financial services firms navigate state or SEC compliance regulations. Offering software coupled with consulting, education, and support, COMPLY serves a broad range of clients including broker-dealers, hedge funds, insurance companies, investment advisers, and private equity firms. Their solutions include compliance program management, employee compliance monitoring, risk assessments, regulatory filings, and educational services to elevate compliance programs. With a strong focus on regulatory expertise, COMPLY empowers firms to maintain compliance and manage risks effectively.

📋 Description

• Work with a specified group of investment advisory firms to provide ongoing compliance support. • Actively respond to emails and phone inquiries pertaining to client matters. • Review investment adviser regulatory documents, including P&P Manuals, Form ADV, and marketing materials. • Use CRM (Salesforce), messaging tools (Teams), and internally-developed software to communicate with clients and track deliverables. • Prepare and deliver high-quality client content for conferences, webinars, and education materials. • Participate in the development of Comply products and services, plus guide clients on products/modules. • Collaborate with our sales representatives by participating in pre-sales prospect phone calls. • Utilize your knowledge of investment advisory regulation, compliance, and the RIA business model. • Review and stay up to date on new proposed and approved investment advisory rules and regulations.

🎯 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 • 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. • Demonstrated ability to work both independently and collaboratively within an environment focused on client services.