Compliance Consultant
November 21
Description
• We are COMPLY. • For compliance people. • We pride ourselves on being the champion for compliance professionals. • Merging technology, consulting and education, we help clients navigate the ever-changing regulatory environment. • We serve more than 7,000 clients globally, through our solutions including ComplySci, RIA in a Box, National Regulatory Service (NRS) and illumis. • We are a high-growth organization and have been recognized with numerous awards including by Inc. 5000, Institutional Asset Manager Awards, Private Equity Wire Awards, and the Women in Data & Technology Awards. • COMPLY is made up of 350+ professionals worldwide. • In the US alone, we have team members in 45 states. • Employees of COMPLY have access to comprehensive benefits, unlimited PTO, paid bonding leave and 100% remote work flexibility with a WFH stipend. • Come join our team of talented innovators working together to forge the next generation of compliance. • To learn more about COMPLY, visit COMPLY.com.
Requirements
• 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 • Proficient in Microsoft Office Suite (Excel, Word, PowerPoint, & Outlook)
Benefits
• comprehensive benefits • unlimited PTO • paid bonding leave • 100% remote work flexibility with a WFH stipend
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