Partnership Compliance Consultant

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

📋 Description

• Deliver ongoing consulting services to financial services clients, both on-site and from the office.

• Perform compliance reviews for investment adviser and/or broker dealer firms, both remotely and on-site.

• Ensure proactive support and timely execution of service deliverables for annual Partnership engagements.

• Collaborate with sales representatives by engaging in pre-sales prospect calls, attending occasional on-site meetings, and assisting in proposal development.

• Provide clients with guidance and advice regarding new or existing Comply products/modules.

• Create and present high-quality content for clients at conferences, webinars, and educational sessions.

• Develop marketing content and materials as required.

• Contribute to the development and ongoing maintenance of Comply products and services.

• Support Senior Consultants with a variety of tasks.

• Mentor and supervise Partnership Associate Consultants.

⛳️ Requirements

• A degree in law or finance and/or relevant compliance experience.

• Familiarity with the Investment Advisers Act of 1940 and/or Securities Exchange Acts, as well as FINRA rules and regulations related to broker dealers.

• Strong analytical thinking and problem-solving skills as needed.

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

• Proven ability to work effectively in a collaborative, client service-oriented environment.

• Willingness and ability to travel onsite to clients for consulting responsibilities as required.

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

🏝️ Benefits

• Comprehensive health benefits including medical, dental, and vision coverage.

• Retirement savings plan with employer matching contributions.

• Opportunities for professional development and continuing education.

• Flexible work arrangements to promote work-life balance.

• Collaborative and inclusive company culture.