Job details

Compliance Consultant - Comprehensive

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Who Are We:

We are COMPLY.

For compliance people.

We pride ourselves on being the champion for compliance professionals. We help clients navigate the ever-changing regulatory environment by merging technology, consulting, and education; We serve more than 7,000 clients globally through our solutions, and our high-growth organization has been recognized with numerous awards, including Inc. 5000, Institutional Asset Manager Awards, Private Equity Wire Awards, and the Women in Data & Technology Awards.

Come join our growing team of over 300 talented innovators working together to forge the next generation of compliance technology.

To learn more about COMPLY, visit COMPLY.com

COMPLY is seeking a polished and accomplished Compliance Consultant to join our growing

team! Our ideal candidate is motivated, detail-oriented, and passionate about delivering high-quality services to our clients by offering innovative and unique solutions to overcome complex challenges. This person will be responsible for providing proactive consulting services to assigned department clients. Such services include drafting disclosure documents, policies and procedures, code of ethics, and providing advice and guidance on a variety of compliance and regulatory matters.

Responsibilities:

Assist clients in managing their Compliance Calendar using internally-developed software.
Actively respond to emails and phone inquiries pertaining to client compliance matters.
Assist with the preparation of conference/education materials and deliver the content when required.
Participate in the development of COMPLY products and services & guide clients on products/modules.
Collaborate with our sales representatives by participating in pre-sales prospect phone calls.

Qualifications

Law degree and/or equivalent compliance experience
Knowledge and understanding of the Investment Advisers Act of 1940 and/or Securities Exchange Acts, FINRA rules and regulations governing broker-dealers.
Ability to engage in complex problem solving and analytical thinking as required.·Excellent interpersonal skills, with the ability to manage relationships with colleagues and stakeholders at all levels.
Demonstrated ability to work effectively within a client service-oriented, collaborative environment.
Proficient in Microsoft Office Suite (Excel, Word, PowerPoint, & Outlook) and ideally Salesforce

Talk about company perks!

Phenomenal Benefits: COMPLY Company offers a comprehensive benefits package, including full medical, dental, and vision coverage at little to no cost, unlimited PTO, discounts on pet insurance, and more!
100% Remote Flexibility: We offer a virtual onboarding experience with a stipend to help work-from-home set up your work-from-home office.
Employee Centric Culture: We host virtual happy hours and team bonding events to keep our fun COMPLY culture alive.
High Growth Startup: There is plenty of room for you to impact the organization and advance your career positively!

$90,000 - $110,000 a year

The compensation range for this role is specific to the United States. It takes into account a wide range of factors that are considered in making compensation decisions, including, but not limited to, skill sets, training, licensure and certification, and experience. A reasonable estimate of the base salary range for this role would be $90,000-$110,000 plus applicable bonus/benefits offerings, etc., as those similarly situated within the Company.

COMPLY is an Equal Opportunity Employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, disability, sex, sexual orientation, gender identity, or national origin. Nothing in this job posting should be construed as an offer or guarantee of employment.

The company offers a wide range of perks including:

- Comprehensive medical, dental and vision insurance at little to no cost starting on day one

- 401k with a company match

- Supplemental benefits at a discounted rate including home, auto and pet insurance

- Unlimited PTO

- Professional Development reimbursements

- Remote opportunities available for most positions

- Time to get together in person for company happy hours, team offsites and more

Applicants must be authorized to work for any employer in the United States. Currently, we are unable to sponsor or take over sponsorship of an employment Visa at this time.

COMPLY is aware of scammers posing as COMPLY employees and extending job offers via direct messaging, texts and social media platforms. These are fraudulent and should be treated as such. To learn more about this, please review our Statement of Fraudulent Job Offers.

Comply Glassdoor Company Review

4.5

Comply DE&I Review

3.0

CEO of Comply

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Average salary estimate

$100000 / YEARLY (est.)

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$90000K

$110000K

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What You Should Know About Compliance Consultant - Comprehensive, Comply

Meet COMPLY, a dynamic and innovative leader in compliance solutions, where we are on a mission to empower compliance professionals! We are looking for an enthusiastic and knowledgeable Compliance Consultant to join our ever-growing team. Are you someone who thrives on challenges and possesses a strong attention to detail? This could be your perfect opportunity! As a Compliance Consultant at COMPLY, you'll be the backbone of our clients' compliance efforts, helping them navigate the complex regulatory environment by offering tailored consulting services. Your responsibilities will include drafting crucial disclosure documents, policies, and procedures while also providing expert guidance on various compliance matters. You will actively manage Compliance Calendars and respond to client inquiries, ensuring they have everything they need for compliance success. You'll also collaborate with our talented team on product development and assist with pre-sales calls, offering expertise that helps seal the deal! Ideal candidates should have a law degree or equivalent experience, a solid understanding of the Investment Advisers Act, and excellent interpersonal skills. Join a company that values its employees with phenomenal benefits, including comprehensive medical coverage, unlimited PTO, and a supportive environment that fosters career growth. With the freedom of a 100% remote position and flexible work options, you can balance work and life in a way that suits you best. If you’re ready to take the next step in your career and make a difference in the compliance world, look no further than COMPLY!

Frequently Asked Questions (FAQs) for Compliance Consultant - Comprehensive Role at Comply

What responsibilities does a Compliance Consultant at COMPLY have?

As a Compliance Consultant at COMPLY, your primary responsibilities include providing proactive consulting services to clients, drafting critical disclosure documents and policies, managing Compliance Calendars, and responding to client inquiries. You will also play a key role in developing new products and services and collaborating with sales representatives during pre-sales activities.