Compliance Consultant

Description

COMPLY is seeking a polished and accomplished Compliance Consultant to join our growing team! Reporting into our Team Manager, this person will be responsible for providing consulting services on a variety of compliance and regulatory matters, drafting disclosure documents, and conducting compliance reviews of investment adviser firms. 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.

Responsibilities:

Work with a specified group of RIA firms to provide ongoing compliance support.

Actively respond to emails and phone inquiries pertaining to client matters.

Customize Form ADV filings and review existing firm regulatory documents.

Use CRM (Salesforce), messaging tools (Slack), as well as internally-developed software to communicate with clients and track client progress.

Prepare and deliver high-quality client content for conferences, webinars, and education materials.

Participate in the development of COMPLY products and services & guide clients on products/modules.

Collaborate with our sales representatives by participating in pre-sales prospect phone calls.

Utilize your knowledge of investment advisory regulation, compliance, and the RIA business model.

Qualifications:

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 ideally Salesforce.

Law degree and/or equivalent compliance experience.

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.