Partnership Compliance Consultant
COMPLYUnited States
Posted November 20, 2024
105000 - 135000 USD
Full Time
About the Company
COMPLY is a leading provider of compliance solutions for financial services firms. Through technology, consulting, and education, they help clients navigate complex regulatory environments, including SEC, FINRA, FCA, and state regulations. With expertise in technology enablement and compliance protocols, COMPLY supports over 5,000 clients globally across investment banks, private funds, broker-dealers, and more.
Job Description
Comply is seeking a Partnership Compliance Consultant to provide consulting services on compliance and regulatory matters, drafting disclosure documents, reviewing marketing materials, and conducting compliance reviews.
Requirements
- Law or financial degree and/or equivalent compliance experience
- Knowledge and understanding of the Investment Advisers Act of 1940 and/or Securities Exchange Acts, FINRA rules and regulations governing broker dealers
- Ability to engage in complex problem solving and analytical thinking as required
- Excellent interpersonal skills, with the ability to manage relationships with colleagues and stakeholders at all levels
Benefits
- Generous Paid Time Off
- 401k Matching
- Tuition Reimbursement
