Compliance Consultant

This is a fully remote position, open to applicants in United States.

📋 Description

• Collaborate with a designated group of investment advisory firms to offer continuous compliance assistance.

• Promptly address emails and phone inquiries regarding client-related issues.

• Evaluate investment adviser regulatory documents, including Policies & Procedures Manuals, Form ADV, and marketing collateral.

• Utilize CRM (Salesforce), communication platforms (Teams), and proprietary software to interact with clients and monitor deliverables.

• Create and present high-quality client content for conferences, webinars, and educational resources.

• Engage in the development of Comply products and services, while advising clients on specific products/modules.

• Work alongside our sales team by taking part in pre-sales prospect discussions.

• Apply your expertise in investment advisory regulations, compliance, and the RIA business model.

• Review and remain informed about newly proposed and adopted investment advisory rules and regulations.

⛳️ Requirements

• Extensive compliance experience with investment advisers, preferably as a compliance consultant, securities regulator, or chief compliance officer.

• In-depth knowledge of the Investment Advisers Act of 1940, along with familiarity with the Securities Exchange Acts, state securities laws governing investment advisers, and FINRA regulations.

• Strong aptitude for engaging in intricate problem-solving and analytical thinking.

• Exceptional interpersonal skills, capable of managing relationships with clients, colleagues, and stakeholders at all levels.

• Proficient in Microsoft Office Suite (Word, Excel, PowerPoint, & Outlook) as well as Salesforce or other CRM platforms.

• Proven ability to work independently and collaboratively in a client-focused environment.

🏝️ Benefits

• Comprehensive health and wellness benefits package.

• Opportunities for professional development and career advancement.

• Flexible working hours and remote work options.