Consultant

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

📋 Description

• Provide compliance guidance to investment adviser clients, which includes creating disclosure documents, policies and procedures, and codes of ethics.

• Oversee client compliance schedules and associated tasks using Comply’s platform.

• Address client inquiries via email and phone regarding the Investment Advisers Act and daily regulatory concerns.

• Work collaboratively with product teams to enhance platform features and modules.

• Assist clients in optimizing their use of Comply’s tools.

• Accompany sales representatives on pre-sales calls to showcase Comply’s consulting services.

• Create and deliver educational webinars and sessions at industry conferences.

• Engage in regulatory working groups to analyze new rules and guidance.

• Keep informed about SEC rulemaking and industry developments.

• Share insights through internal training and knowledge dissemination.

• Independently handle a client portfolio while contributing to policy drafting or advisory projects.

⛳️ Requirements

• Extensive understanding of the Investment Advisers Act of 1940 and associated SEC regulations.

• J.D. degree or comparable regulatory compliance experience gained through in-house compliance positions, regulatory practice, or compliance consulting.

• Strong analytical skills and problem-solving capabilities.

• Exceptional interpersonal skills with a proven history of managing relationships with clients and stakeholders at all levels.

• Ability to excel in a client service setting while handling multiple priorities across various engagements simultaneously.

• Proficiency in Microsoft Office Suite (Word, Excel, PowerPoint, Outlook).

• Experience with broker-dealers, private funds, or wealth managers alongside RIAs is a plus.

• Familiarity with Salesforce or compliance management software platforms is desirable.

• Background in presenting at industry conferences or developing compliance training programs is a nice-to-have.

• Must have authorization to work for any employer in the United States.

• Currently unable to sponsor or assume sponsorship of an employment visa.

🏝️ Benefits

• Applicable bonus and benefit offerings.

• A wide range of perks available to employees at Comply.

• Opportunity for remote work arrangements.