Partnership Executive

🕒 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

• 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), including synthesizing findings into clear, actionable recommendations for client stakeholders. • 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, including development of methodologies, documentation, and internal guidance. • 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. • Provide practical, experience-based guidance on complex regulatory and client issues. • Support team members by helping troubleshoot challenging scenarios and offering insight grounded in industry best practices. • Contribute to maintaining high standards of quality and consistency across client deliverables. • 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, with the ability to engage effectively across all levels of an organization. • 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

• To learn more about our values, mission and the wide-range of perks offered to employees at Comply, visit https://www.comply.com/careers/. • Health insurance • Retirement plans • Professional development • Bonuses • Flexible work arrangements