Job Description

Comply is seeking a Compliance Consultant to provide consulting services on compliance and regulatory matters, draft disclosure documents, review marketing materials, and conduct compliance reviews of investment advisers. The ideal candidate will be motivated, detail-oriented, and passionate about delivering high-quality services to clients.

Responsibilities

• Provide ongoing compliance support to investment advisory firms
• Respond to client inquiries
• Review regulatory documents and marketing materials
• Use CRM and software to communicate and track deliverables
• Prepare client content for conferences and education
• Participate in product development
• Collaborate with sales representatives
• Stay up to date on investment advisory rules and regulations

Requirements

• Significant compliance experience with investment advisers
• Knowledge of the Investment Advisers Act of 1940
• Aptitude for problem solving and analytical thinking
• Excellent interpersonal skills
• Proficient in Microsoft Office Suite and Salesforce
• Ability to work independently and collaboratively

Benefits

• No benefits