[Remote] Compliance Consultant, Enhanced Consulting Services

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. They are seeking an Enhanced Compliance Consultant to provide consulting services on compliance and regulatory matters, draft documents, review materials, and conduct compliance reviews for investment advisers. 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. Company Overview • COMPLY provides and offers resources and consultation services on technical and professional skills for the compliance industry. It was founded in 1982, and is headquartered in New York, New York, USA, with a workforce of 201-500 employees. Its website is Apply tot his job Apply tot his job Apply To this Job