Regulatory Operations Specialist

📋 Description

• Engage with our Comprehensive clients to deliver exceptional customer service.

• Collaborate closely with firm stakeholders to provide weekly updates on ongoing matters.

• Establish partnerships with Comprehensive Compliance Consultants to effectively address all compliance-related issues.

• Offer client support on regulatory filing requests by fostering cross-departmental collaboration with analysts, consultants, and product development teams to enhance the client experience.

• Inform clients about the features of the Comply for RIA platform and its associated services to maximize client value.

• Respond promptly to client inquiries while maintaining high levels of client satisfaction.

• Review and analyze data from various sources, identifying any inconsistencies in the received information.

• Provide personalized assistance to clients via phone, email interactions, and scheduled calendar meetings.

• Demonstrate the ability to proactively manage a portfolio of cases, multitask, and prioritize incoming requests efficiently in a fast-paced environment while upholding ethical integrity.

• Oversee regulatory support case details within our Salesforce case tracking system.

• Address client questions, update clients on project progress, and resolve issues in a timely manner.

• Collaborate daily with internal departments such as Client Support, Product, Development, and Compliance teams to meet our clients’ immediate and long-term needs.

• Provide client feedback and internal suggestions to the product team for software improvements.

• Act as a partner to the Analyst team in managing the lifecycle of regulatory filings.

• Work with senior management to facilitate strategic planning and decision-making regarding compliance-related matters.

⛳️ Requirements

• Must be available to work Monday through Friday, from 9 AM to 5 PM (EST).

• Bachelor’s Degree with 0-3 years of professional experience.

• A major in Accounting, Finance, Business, or Economics is advantageous (but not mandatory).

• Excellent written and verbal communication skills, with the capability to listen, articulate, ask questions, and advocate for our clients.

• Ability to accurately analyze and interpret data.

• Outstanding organizational and time management abilities.

• Strong case management, troubleshooting, resolution, and analytical skills.

• Capability to perform complex tasks and prioritize multiple projects effectively.

• Previous experience in a high-volume call center environment and/or client support role is beneficial!

• Familiarity with Salesforce.com (or other CRM systems), SaaS technology, MS Office, Python, and SQL software support is a plus!

🏝️ Benefits

• To learn more about our values, mission, and the extensive range of employee perks offered at Comply, visit https://www.comply.com/careers/.

• Comply is an Equal Opportunity Employer. All qualified applicants will be considered for employment without regard to race, color, religion, disability, sex, sexual orientation, gender identity, or national origin.

• Nothing in this job posting should be interpreted as an offer or guarantee of employment.

• Applicants must be authorized to work for any employer in the United States. At this time, we are unable to sponsor or assume sponsorship of an employment Visa.

• Comply is aware of scammers impersonating Comply employees and offering jobs via direct messages, texts, and social media platforms. These are fraudulent and should be treated as such. For more information, please review our Statement of Fraudulent Job Offers.