COMPLY is seeking a polished and accomplished Compliance Consultant to join our growing team! This person will be responsible for providing consulting services on a variety of compliance and regulatory matters, drafting disclosure documents, and conducting on-site and remote compliance reviews of investment adviser and/or broker dealer firms. 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 consulting services.
- Conduct on-site and remote compliance reviews of investment adviser and/or broke dealer firms.
- Collaborate with our sales representatives by participating in pre-sales prospect phone calls and occasional prospect on-site meetings including proposal creation.
- Provide guidance and advice to clients on new or existing 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 department Associates.
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.
- Proficient in Microsoft Office Suite (Excel, Word, PowerPoint, & Outlook)
$80,000 – $110,000 a year
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