The Partnership Executive Consultant provides senior-level compliance consulting to clients, manages relationships, conducts compliance reviews, and contributes to service development. They also support business development and serve as a senior resource for internal teams.
Who Are We:
Comply is the leading provider of compliance SaaS and consulting services for the global financial services sector. With more than 5,000 clients and hundreds of employees across the globe, Comply empowers Chief Compliance Officers and their teams to proactively manage regulatory obligations, mitigate risk, and scale with efficiency and confidence.
Comply serves thousands of global financial services clients including broker-dealers, insurers, investment banks, private funds, RIAs, and wealth managers who rely on Comply offerings to power their compliance programs.
To learn more about Comply, visit comply.com
The Role:
Comply is seeking a highly experienced and accomplished Partnership Executive Consultant to join our growing Regulatory Services team. This role represents the highest level within the Consultant track and is designed for a seasoned compliance professional who combines deep regulatory expertise with the ability to influence, guide, and elevate both client outcomes and internal capabilities.
Reporting to senior leadership (VP/SVP level), the Partnership Executive Consultant will serve as a senior advisor to clients while also acting as a key internal resource across the organization. This individual will maintain a portfolio of client relationships and deliver high-quality consulting services, while contributing to firmwide initiatives, supporting the development and implementation of new service offerings, and serving as a trusted source of insight and practical guidance for colleagues.
The ideal candidate brings extensive experience under the Investment Advisers Act of 1940, strong industry credibility, and a demonstrated ability to translate complex regulatory requirements into clear, actionable, and business-oriented solutions.
Responsibilities:
- 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, including:
- Assisting with scoping of engagements and proposal development
- Participating in select prospect calls and meetings
- Provide subject matter expertise to help align client needs with Comply’s services and solutions.
- Represent Comply externally through conference presentations, webinars, and industry events.
- Develop written content, including articles, alerts, and educational materials.
- Monitor and analyze regulatory developments and emerging trends, and translate them into actionable insights for clients and internal teams.
Client Advisory & Consulting
Strategic Contributions & Service Development
Internal Resource & Mentorship
Sales & Business Support
Thought Leadership & Market Engagement
Skills and Qualifications:
- 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).
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.
Similar Jobs
Cloud • Software
Lead territory sales for ThousandEyes in North Texas, owning full sales cycle from prospecting and demos to pricing, negotiation, and closing. Build account plans, forecast in Salesforce, collaborate with Cisco account teams and customer success, drive new customer acquisition and upsells, and meet quarterly and annual bookings targets.
Top Skills:
CiscoSaaSSalesforceThousandeyes
Artificial Intelligence • Professional Services • Business Intelligence • Consulting • Cybersecurity • Generative AI
Lead finance transformation engagements using Oracle Cloud ERP and EPM. Design and implement Oracle Financials and Hyperion solutions, integrate RPA/ML/analytics, ensure compliance, manage stakeholder relationships, coach teams, and drive strategic outcomes on large, cross-border projects.
Top Skills:
Ahcs/FahAnalyticsFixed Assets (Fa)Hyperion Financial ManagementMachine LearningOracle ApOracle ArOracle Cloud ErpOracle CmOracle EpmOracle ExpensesOracle FinancialsOracle GlOracle Ppm (Grants)Project BillingProject CostingRpa
Artificial Intelligence • Professional Services • Business Intelligence • Consulting • Cybersecurity • Generative AI
The role involves leading Salesforce technology solutions, managing client relationships, and mentoring teams while driving business growth and delivering innovative solutions.
Top Skills:
Salesforce
What you need to know about the Los Angeles Tech Scene
Los Angeles is a global leader in entertainment, so it’s no surprise that many of the biggest players in streaming, digital media and game development call the city home. But the city boasts plenty of non-entertainment innovation as well, with tech companies spanning verticals like AI, fintech, e-commerce and biotech. With major universities like Caltech, UCLA, USC and the nearby UC Irvine, the city has a steady supply of top-flight tech and engineering talent — not counting the graduates flocking to Los Angeles from across the world to enjoy its beaches, culture and year-round temperate climate.
Key Facts About Los Angeles Tech
- Number of Tech Workers: 375,800; 5.5% of overall workforce (2024 CompTIA survey)
- Major Tech Employers: Snap, Netflix, SpaceX, Disney, Google
- Key Industries: Artificial intelligence, adtech, media, software, game development
- Funding Landscape: $11.6 billion in venture capital funding in 2024 (Pitchbook)
- Notable Investors: Strong Ventures, Fifth Wall, Upfront Ventures, Mucker Capital, Kittyhawk Ventures
- Research Centers and Universities: California Institute of Technology, UCLA, University of Southern California, UC Irvine, Pepperdine, California Institute for Immunology and Immunotherapy, Center for Quantum Science and Engineering
