Partnership Compliance Consultant

🕒 May 28

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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

• Perform both on-site and office-based ongoing consulting services to financial services clients. • Conduct on-site and remote compliance reviews of investment adviser and/or broker dealer firms. • Provide proactive support and timely execution of service deliverables for annual Partnership engagements. • Collaborate with our sales representatives by participating in pre-sales prospect phone calls and occasional prospect on-site meetings, and proposal creation. • Provide guidance and advice to clients on new or existing Comply products/modules. • Prepare and deliver high-quality client content for conferences, webinars, and education materials. • Prepare marketing content and marketing materials as needed. • Participate in the development and maintenance of Comply products and services. • Assist Senior Consultants with various tasks. • Mentor and oversee Partnership Associate Consultants.

🎯 Requirements

• Law or financial degree and/or equivalent compliance experience. • Knowledge and understanding of the Investment Advisers Act of 1940 and/or Securities Exchange Acts, FINRA rules and regulations governing broker dealers. • Ability to engage in complex problem solving and analytical thinking as required. • Excellent interpersonal skills, with the ability to manage relationships with colleagues and stakeholders at all levels. • Demonstrated ability to work effectively within a client service-oriented, collaborative environment. • Willingness and ability to periodically travel onsite to clients for consulting duties • Proficient in Microsoft Office Suite (Excel, Word, PowerPoint, & Outlook)