Note: The job is a remote job and is open to candidates in USA. Comply is a provider of compliance SaaS and consulting services for the global financial services sector. The company is seeking a Compliance Consultant to advise financial services clients, draft policies and disclosure documents, manage compliance activities, interpret SEC regulations, and provide practical regulatory guidance across multiple client engagements.
Responsibilities
- Advise investment adviser clients on a broad range of compliance matters such as drafting disclosure documents, policies and procedures, and codes of ethics tailored to each firm’s structure and regulatory obligations
- Manage client compliance calendars and related activities through Comply’s platform, helping clients stay ahead of filing deadlines, exam cycles, and regulatory requirements
- Respond to client email and phone inquiries on compliance matters, acting as a knowledgeable, reliable resource on Investment Advisers Act questions and day-to-day regulatory issues
- Collaborate with Comply’s product teams to shape platform features and modules, lending your regulatory expertise to development decisions and guiding clients on how to get the most from the tools
- Join sales representatives on pre-sales calls, helping prospective clients understand Comply’s consulting capabilities and how they map to the prospect’s compliance needs
- Develop and present educational webinars and industry conference sessions on evolving compliance requirements, contributing to Comply’s thought leadership in the sector
- Participate in regulatory working groups to interpret new rules and guidance, helping develop standards and supporting clients through periods of regulatory change
- Stay current on SEC rulemaking and industry trends, and bring insights back to the team through internal education and knowledge sharing
- You’ve familiarized yourself with Comply’s platform and client roster, and are handling your first client inquiries with confidence and minimal escalation
- You’re independently managing a client portfolio, responding to regulatory questions, and contributing to at least one active policy drafting or advisory engagement from start to finish
- You’ve delivered high-quality work across multiple clients, participated in a webinar or internal regulatory update, and identified at least one opportunity to deepen a client relationship or improve a process
Skills
- Deep working knowledge of the Investment Advisers Act of 1940 and related SEC regulations — you can interpret rules, advise clients on obligations, and draft compliant documentation
- J.D. or equivalent regulatory compliance experience — developed through in-house compliance roles, regulatory practice, or compliance consulting
- Strong analytical and problem-solving ability — you work through complex regulatory questions and translate them into clear, actionable guidance
- Excellent interpersonal skills, with a track record of managing client and stakeholder relationships at all levels — from day-to-day compliance contacts to senior leadership
- Demonstrated ability to thrive in a client service environment: responsive, organized, and effective at managing competing priorities across multiple engagements simultaneously
- Proficiency with Microsoft Office Suite (Word, Excel, PowerPoint, Outlook)
- Applicants must be authorized to work for any employer in the United States
- Experience working with broker-dealers, private funds, or wealth managers in addition to RIAs
- Familiarity with Salesforce or compliance management software platforms
- Experience presenting at industry conferences or developing compliance training programs for clients or internal teams
Company Overview