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Comply

Posted 19 months ago

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Partnership Compliance Consultant

United StatesOn-siteFull-time

AI Summary

Partnership Compliance Consultant provides consulting on regulatory matters for financial services clients, drafts disclosures and reports, and supports marketing material reviews and product guidance.

About this role

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 polished and accomplished Partnership Compliance Consultant to join our growing team. Reporting to our VP or 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, conducting compliance reviews, and drafting comprehensive reports of review findings and recommendations. 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:

  • Perform both on-site and office-based ongoing consulting services to financial services clients.
  • Conduct on-site and remote compliance reviews of investment adviser and/or broker dealer firms.
  • Provide proactive support and timely execution of service deliverables for annual Partnership engagements.
  • Collaborate with our sales representatives by participating in pre-sales prospect phone calls and occasional prospect on-site meetings, and proposal creation.
  • Provide guidance and advice to clients on new or existing Comply products/modules.
  • Prepare and deliver high-quality client content for conferences, webinars, and education materials.
  • Prepare marketing content and marketing materials as needed.
  • Participate in the development and maintenance of Comply products and services.
  • Assist Senior Consultants with various tasks.
  • Mentor and oversee Partnership Associate Consultants.

    • Skills and Qualifications:

  • Law or financial degree and/or equivalent 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.
  • Willingness and ability to periodically travel onsite to clients for consulting duties
  • Proficient in Microsoft Office Suite (Excel, Word, PowerPoint, & Outlook)

    • Skills

    Broker-dealer RegulationsClient RelationsCompliance ReviewsEducational Content CreationFINRA RulesInvestment Advisers Act Of 1940Marketing Material ReviewMicrosoft Office Suite (Excel, Word, PowerPoint, Outlook)On-site ConsultingPre-sales SupportProposal CreationRemote ConsultingReport DraftingSecurities Exchange ActsTravel To Client Sites

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