COMPLY is seeking a polished and accomplished Compliance Consultant to join our growing team! Reporting into our Team Manager, this person will be responsible for providing consulting services on a variety of compliance and regulatory matters, drafting disclosure documents, and conducting compliance reviews of investment adviser 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:
- Work with a specified group of RIA firms to provide ongoing compliance support.
- Actively respond to emails and phone inquiries pertaining to client matters.
- Customize Form ADV filings and review existing firm regulatory documents.
- Use CRM (Salesforce), messaging tools (Slack), as well as 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 our sales representatives by participating in pre-sales prospect phone calls.
- Utilize your knowledge of investment advisory regulation, compliance, and the RIA business model.
Qualifications:
- 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.
$80,000 – $90,000 a year
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