Consultant

🕒 September 22

🇺🇸 United States – Remote

💵 $85k - $115k / year

⏰ Full Time

🟡 Mid-level

🟠 Senior

💼 Consultant

👻 Ghost score 7%

What it means: the chance that no one is really hiring for this job.How to read it: 60% or higher means we think this is a ghost. Lower scores are less of a worry.How we score it: age, reposts, open roles vs team size, how fast jobs close, and whether pay is listed.Fine print: an estimate from public data, not a judgment of the company. Real jobs can score high, so treat it as a hint, not a fact.

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COMPLY

WebsiteLinkedInAll Job Openings

201 - 500 employees

💼 Consulting

🛡️ Insurance

📋 Compliance

Consulting • Insurance • Compliance

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

• Advise investment adviser clients on compliance matters, including drafting disclosure documents, policies and procedures, and codes of ethics • Manage client compliance calendars and related activities through Comply’s platform • Respond to client email and phone inquiries on Investment Advisers Act questions and day-to-day regulatory issues • Collaborate with product teams to shape platform features and modules • Guide clients on maximizing the use of Comply’s tools • Join sales representatives on pre-sales calls and explain Comply’s consulting capabilities • Develop and present educational webinars and industry conference sessions • Participate in regulatory working groups to interpret new rules and guidance • Stay current on SEC rulemaking and industry trends • Contribute insights through internal education and knowledge sharing • Independently manage a client portfolio and contribute to policy drafting or advisory engagements

🎯 Requirements

• Deep working knowledge of the Investment Advisers Act of 1940 and related SEC regulations • J.D. or equivalent regulatory compliance experience developed through in-house compliance roles, regulatory practice, or compliance consulting • Strong analytical and problem-solving ability • Excellent interpersonal skills and a track record of managing client and stakeholder relationships at all levels • Ability to thrive in a client service environment and manage competing priorities across multiple engagements simultaneously • Proficiency with Microsoft Office Suite (Word, Excel, PowerPoint, Outlook) • Experience working with broker-dealers, private funds, or wealth managers in addition to RIAs (nice-to-have) • Familiarity with Salesforce or compliance management software platforms (nice-to-have) • Experience presenting at industry conferences or developing compliance training programs (nice-to-have) • Must be authorized to work for any employer in the United States • Currently unable to sponsor or take over sponsorship of an employment visa

🏖️ Benefits

• Applicable bonus/benefit offerings • Wide-range of perks offered to employees at Comply • Remote work arrangement

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