Enhanced Compliance Consultant

@ Comply

Who Are We

We are Comply, the leading global provider of comprehensive regulatory compliance software and consulting solutions for the financial services sector. Our OneComply™ platform offers an all-in-one approach to meet firm and employee compliance requirements via a scalable SaaS platform and expert consulting services.

We serve thousands of financial services clients including Broker Dealers, Investment Banks, Private Funds, RIAs, and Wealth Managers who rely on our expertise to power their compliance programs.

The Role

Comply is seeking a polished and accomplished Enhanced Compliance Consultant to join our growing team. Reporting to our Senior Compliance Director, you will provide consulting services on a variety of compliance and regulatory matters, draft disclosure documents, review marketing materials, and conduct compliance reviews of investment advisers.

• Work with investment advisory firms to provide compliance support.
• Review regulatory documents such as Form ADV and marketing materials.
• Utilize CRM, messaging tools, and Comply’s internal software.
• Prepare client content for conferences, webinars, and educational events.
• Collaborate in product development and participate in pre-sales calls.

Skills And Qualifications

The ideal candidate has significant compliance experience with investment advisers, comprehensive knowledge of the Investment Advisers Act of 1940, and familiarity with securities regulations. Strong analytical, problem-solving, and interpersonal skills are required, along with proficiency in Microsoft Office Suite and Salesforce (or similar CRM tools). Ability to work both independently and collaboratively is essential.

Compensation

The estimated base salary ranges between $80,000 and $100,000 per year, plus applicable bonuses and benefits.

Key skills/competency

• Compliance
• Regulatory
• Consulting
• Investment Advisers
• Risk Management
• Document Review
• CRM
• Analytical
• Interpersonal
• Problem Solving