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Partnership Executive Consultant

1 hour, 39 minutes ago
United States
Full-time
Lead
Legal Counsel
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 2

Description

  • Provide senior-level compliance consulting services to investment advisers and, where applicable, broker-dealers and private fund managers.
  • Manage ongoing client relationships across annual engagements and project-based work.
  • Conduct and lead complex remote and on-site compliance reviews and turn findings into actionable recommendations.
  • Draft and review disclosure documents, policies and procedures, and other regulatory materials.
  • Advise clients on regulatory developments, risk areas, and industry best practices.
  • Contribute to the development, enhancement, and rollout of new service offerings.
  • Support implementation of new services by creating methodologies, documentation, and internal guidance.
  • Assist with internal training to promote consistent execution across the consulting team.
  • Serve as a senior subject matter resource for consultants, VPs, and Directors.
  • Partner with sales teams on scoping, proposal development, and select prospect calls.
  • Represent Comply externally through conference presentations, webinars, and industry events.
  • Develop written thought leadership content such as articles, alerts, and educational materials.

Requirements

  • Law degree or advanced compliance experience required.
  • 8–12+ years of experience in investment adviser compliance.
  • Strong working knowledge of the Investment Advisers Act of 1940.
  • Experience with private funds is strongly preferred.
  • Familiarity with CFTC/NFA and/or FINRA requirements is a plus.
  • Prior compliance consulting experience is a plus.
  • Demonstrated ability to analyze complex regulatory issues and provide practical guidance.
  • Strong interpersonal and communication skills across all levels of an organization.
  • Proven ability to operate as a senior individual contributor in a collaborative, client-service environment.
  • Experience contributing to service development, training, or internal initiatives is highly valued.
  • Willingness and ability to travel as needed.
  • Proficiency with Microsoft Office Suite, including Excel, Word, PowerPoint, and Outlook.
  • Must be authorized to work for any employer in the United States; sponsorship is not available.

Benefits

  • Remote, full-time position based in the United States.
  • Base salary range of $155,000 to $180,000.
  • All-in total compensation of $186,000 to $216,000.
  • Bonus and benefit offerings included in total compensation.
  • Access to Comply’s broader employee perks and benefits program.
  • Opportunity to work for an Equal Opportunity Employer.

Interested in this position?

Apply directly on the company website

Apply Now

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