Compliance Consultant, Enhanced Consulting Services

Comply is seeking a polished and accomplished Enhanced Compliance Consultant to join our growing team! Reporting to our Senior Compliance Director, this person will be responsible for providing consulting services on a variety of compliance and regulatory matters, drafting disclosure documents, reviewing marketing materials, and conducting compliance reviews of investment advisers.

Requirements

• Work with a specified group of investment advisory firms to provide ongoing compliance support.
• Actively respond to emails and phone inquiries pertaining to client matters.
• Review investment adviser regulatory documents, including P&P Manuals, Form ADV, and marketing materials.
• Prepare and deliver high-quality client content for conferences, webinars, and education materials.
• 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.
• Review and stay up to date on new proposed and approved investment advisory rules and regulations.

Benefits

• Generous Paid Time Off
• 401k Matching
• Retirement Plan
• Visa Sponsorship
• Four Day Work Week
• Generous Parental Leave
• Tuition Reimbursement
• Relocation Assistance