Compliance Consultant

March 15

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COMPLY

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At COMPLY, we pride ourselves on being the champion for compliance professionals$1. .$1

201 - 500

Description

• Provide consulting services on compliance and regulatory matters • Draft disclosure documents • Conduct compliance reviews of investment adviser firms • Customize Form ADV filings and review existing firm regulatory documents • Utilize CRM (Salesforce), messaging tools (Slack), and 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 sales representatives by participating in pre-sales prospect phone calls • Utilize knowledge of investment advisory regulation, compliance, and the RIA business model.

Requirements

• In-depth understanding of the Investment Advisers Act of 1940, Securities Exchange Acts and other regulations governing investment advisers. • Demonstrated ability to work effectively within a client service-oriented, collaborative environment. • Excellent interpersonal skills, including the ability to manage relationships with colleagues and stakeholders at all levels. • Aptitude for complex problem solving and analytical thinking. • Proficiency in Microsoft Office Suite (Excel, Word, PowerPoint, & Outlook) and ideally Salesforce. • Extensive investment adviser compliance experience.

Benefits

• Comprehensive benefits • Unlimited PTO • Paid bonding leave • 100% remote work flexibility • WFH stipend