The Compliance Consultant provides consulting services, manages compliance activities, drafts documents, and supports clients on regulatory matters and compliance software.
Who Are We:
We are COMPLY.
For compliance people.
COMPLY is the leading global provider of comprehensive regulatory compliance software and solutions for the financial services sector. Our OneCOMPLY™ platform provides an all-in-one approach to address firm and employee compliance requirements through a configurable and scalable software-as-a-service (SaaS) platform coupled with expert consulting services.
COMPLY serves thousands of financial services clients including Broker Dealers, Investment Banks, Private Funds, RIAs, and Wealth Managers who rely on COMPLY to power their compliance programs.
To learn more about COMPLY, visit COMPLY.com
The Role:
COMPLY is seeking a polished and accomplished Compliance Consultant to join our growing team! Our ideal candidate is motivated, detail-oriented, and passionate about delivering high-quality services to our clients by offering innovative and unique solutions to overcome complex challenges. Further, the ideal candidate excels at managing competing priorities across multiple client engagements and internal initiatives, consistently delivering high-quality work on time.
Responsibilities:
- Provide proactive consulting services to clients to include drafting disclosure documents, policies and procedures, code of ethics, and providing advice and guidance on a variety of investment adviser and/or broker dealer compliance and regulatory matters.
- Assist clients in managing their Compliance Calendar and related compliance activities using internally developed software.
- Actively respond to emails and phone inquiries pertaining to client compliance matters.
- Assist with the preparation of conference/education materials and deliver the content when required.
- Participate in the development of COMPLY products and services and guide clients on products/modules.
- Collaborate with our sales representatives by participating in pre-sales prospect phone calls.
Qualifications:
- Law degree and/or equivalent regulatory 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.
- Proficient in Microsoft Office Suite (Excel, Word, PowerPoint, & Outlook) and Salesforce.
To learn more about our values, mission and the wide-range of perks offered to employees at COMPLY, visit https://www.comply.com/careers/.
COMPLY is an Equal Opportunity Employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, disability, sex, sexual orientation, gender identity, or national origin. Nothing in this job posting should be construed as an offer or guarantee of employment.
Applicants must be authorized to work for any employer in the United States. Currently, we are unable to sponsor or take over sponsorship of an employment Visa at this time.
COMPLY is aware of scammers posing as COMPLY employees and extending job offers via direct messaging, texts and social media platforms. These are fraudulent and should be treated as such. To learn more about this, please review our Statement of Fraudulent Job Offers.
Top Skills
Microsoft Office Suite
Salesforce
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