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Partnership Compliance Consultant

3 hours, 18 minutes ago
United States
Full-time
Senior
Partnerships Manager
Sales and Business Development
Apply Now
COMPLY

COMPLY

COMPLY is a leading compliance software provider for the financial services sector, offering regulatory compliance technology, consulting, and education resources. Their comprehensive suite of solutions empowers clients to navigate the ever-changing re...

Capital Markets
51-250
View All Jobs 4

Description

  • Perform ongoing consulting services for financial services clients both onsite and in the office.
  • Conduct on-site and remote compliance reviews of investment adviser and broker-dealer firms.
  • Provide proactive support and timely execution of deliverables for annual Partnership engagements.
  • Collaborate with sales representatives on pre-sales prospect calls, occasional onsite meetings, and proposal creation.
  • Advise clients on new and existing Comply products and modules.
  • Prepare and deliver client content for conferences, webinars, and education materials.
  • Draft marketing content and other marketing materials as needed.
  • Participate in the development and maintenance of Comply products and services.
  • Assist Senior Consultants with a variety of tasks.
  • Mentor and oversee Partnership Associate Consultants.

Requirements

  • Law or financial degree, or equivalent compliance experience.
  • Knowledge of the Investment Advisers Act of 1940 and/or Securities Exchange Acts, plus FINRA rules and broker-dealer regulations.
  • Ability to perform complex problem solving and analytical thinking.
  • Excellent interpersonal skills and the ability to manage relationships with colleagues and stakeholders at all levels.
  • Experience working in a client service-oriented, collaborative environment.
  • Willingness and ability to periodically travel onsite to clients for consulting duties.
  • Proficiency in Microsoft Office Suite, including Excel, Word, PowerPoint, and Outlook.
  • Must be authorized to work for any employer in the United States.
  • Current inability for the employer to sponsor or take over employment visa sponsorship.

Benefits

  • Remote, full-time position.
  • Base salary range of $105,000 to $135,000 per year.
  • All-in total compensation of $115,500 to $143,500.
  • Applicable bonus and benefit offerings.
  • Opportunity to work with a leading compliance SaaS and consulting company serving global financial services clients.

Interested in this position?

Apply directly on the company website

Apply Now

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