Enhanced Compliance Consultant

Who Are We: Comply is the leading provider of compliance SaaS and consulting services for the global financial services sector. With more than 5,000 clients and hundreds of employees across the globe, Comply empowers Chief Compliance Officers and their teams to proactively manage regulatory obligations, mitigate risk, and scale with efficiency and confidence. Comply serves thousands of global financial services clients including broker-dealers, insurers, investment banks, private funds, RIAs, and wealth managers who rely on Comply offerings to power their compliance programs. To learn more about Comply, visit comply.com About the role Comply is looking for an Enhanced Compliance Consultant to guide registered investment advisers through their toughest regulatory questions and keep their compliance programs audit-ready. You’ll be the trusted partner for a portfolio of registered investment advisers by fielding their day-to-day questions by phone and email and helping them turn dense regulatory requirements into practical, defensible decisions. You’ll review the documents that keep firms out of trouble and run compliance reviews that surface risk before an examiner does. You’ll also help clients get real value from Comply’s technology, create content for webinars and conferences, and support pre-sales conversations. You’ll love this role if you’re a detail-oriented compliance professional who enjoys solving complex regulatory problems and delivering high-quality, creative solutions to clients. What you’ll do Advise a portfolio of investment advisory firms, providing ongoing compliance support by phone and email. Review regulatory documents (Ex. Form ADV, compliance (P&P) manuals, codes of ethics, business continuity and cybersecurity/Reg S-P privacy plans, etc). Conduct compliance reviews of investment advisers and translate findings into actionable recommendations. Prepare clients for SEC and state examinations — mock exams, document-request responses, and remediation planning. Prepare and deliver high-quality client content for conferences, webinars, and education sessions. Guide clients on Comply products, using our platform and AI-assisted tooling to deliver reviews efficiently at scale. Partner with sales on pre-sales prospect calls, and stay current on proposed and adopted investment-advisory rules. What success looks like in your first 90 days You’ve taken ownership of your client portfolio and are the go-to contact for their day-to-day compliance questions. You’ve completed your first compliance reviews and delivered clear, actionable recommendations. You’re contributing regulatory insight to client content and internal product discussions. What you’ll bring Must-have Significant compliance experience with investment advisers as a compliance consultant, securities regulator, or CCO. Comprehensive knowledge of the Investment Advisers Act of 1940 and applicable state securities laws. Familiarity with the SEC Marketing Rule and current examination priorities. Aptitude for complex problem solving and analytical thinking. Excellent interpersonal skills; you can manage relationships with clients and stakeholders at all levels. Proficiency in Microsoft Office Suite and Salesforce (or another CRM). Ability to work both independently and collaboratively in a client-services environment. Nice-to-have Knowledge of the Securities Exchange Acts and FINRA rules. Comfort with RegTech / AI-assisted compliance tooling. The all-in total compensation for this role is $88,000 and $121,000 , and is specific to the United States. A reasonable estimate of the base salary range would be $80,000 - $110,000 plus applicable bonus/benefit offerings, etc., as those similarly situated within the Company. 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. To learn more about our values, mission and the wide-range of perks offered to employees at Comply, visit https://www.comply.com/careers/ . 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.] 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.