Note: The job is a remote job and is open to candidates in USA. Comply is the leading provider of compliance SaaS and consulting services for the global financial services sector. The Enhanced Compliance Consultant will provide consulting services on compliance and regulatory matters, draft disclosure documents, and conduct compliance reviews for investment advisers, ensuring high-quality service delivery to clients.
Responsibilities
- Work with a specified group of investment advisory firms to provide ongoing compliance support
- Actively respond to emails and phone inquiries pertaining to client matters
- Review investment adviser regulatory documents, including P&P Manuals, Form ADV, and marketing materials
- Use CRM (Salesforce), messaging tools (Teams), and internally-developed software to communicate with clients and track deliverables
- Prepare and deliver high-quality client content for conferences, webinars, and education materials
- Participate in the development of Comply products and services, plus guide clients on products/modules
- Collaborate with our sales representatives by participating in pre-sales prospect phone calls
- Utilize your knowledge of investment advisory regulation, compliance, and the RIA business model
- Review and stay up to date on new proposed and approved investment advisory rules and regulations
Skills
- Significant compliance experience with investment advisers, (ideally) as compliance consultant, securities regulator, or chief compliance officer
- Comprehensive knowledge of the Investment Advisers Act of 1940, along with (ideally) Securities Exchange Acts, state securities laws governing investment advisers, and FINRA rules
- Aptitude for engaging in complex problem solving and analytical thinking
- Excellent interpersonal skills, with the ability to manage relationships with clients, colleagues, and stakeholders at all levels
- Proficient in Microsoft Office Suite (Word, Excel, PowerPoint, & Outlook) and Salesforce or other CRM
- Demonstrated ability to work both independently and collaboratively within an environment focused on client services
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