Comprehensive Compliance Consultant

Comply is seeking a Comprehensive Compliance Consultant to join our growing team! 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.

Requirements

• Provide proactive consulting services to clients to include drafting disclosure documents, policies and procedures, code of ethics, and providing advice and guidance on a variety of investment adviser compliance and regulatory matters.
• Assist clients in managing their Compliance Calendar and related compliance activities using internally developed software.
• Actively respond to emails and phone inquiries pertaining to client compliance matters.
• Participate in the development of Comply products and services and guide clients on products/modules.
• Collaborate with our sales representatives by participating in pre-sales prospect phone calls.
• Assist with educational webinars and industry conferences to remain current on evolving compliance requirements and provide internal education on key regulatory topics.
• Engage in regulatory small groups and working sessions to help develop, interpret, and support implementation of new rules, guidance, and compliance standards.
• Limited travel as needed based on client relationship requirements (e.g., compliance training) and participation in educational conferences and industry events.

Benefits

• Comprehensive benefits package
• 401k Matching
• Retirement Plan
• Tuition Reimbursement
• Relocation Assistance