Provide regulatory compliance consulting to financial services clients: draft disclosures, policies, codes of ethics, manage compliance calendars using internal software, advise on Investment Advisers Act matters, support product guidance, pre-sales calls, webinars, and limited travel for training and conferences.
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
The Role
Comply is seeking a polished and accomplished Comprehensive 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. Further, the ideal candidate excels at managing competing priorities across multiple client engagements and internal initiatives, consistently delivering high-quality work on time.
Responsibilities:
- Provide proactive consulting services to clients to include drafting disclosure documents, policies and procedures, code of ethics, and providing advice and guidance on a variety of investment adviser compliance and regulatory matters.
- Assist clients in managing their Compliance Calendar and related compliance activities using internally developed software.
- Actively respond to emails and phone inquiries pertaining to client compliance matters.
- Participate in the development of Comply products and services and guide clients on products/modules.
- Collaborate with our sales representatives by participating in pre-sales prospect phone calls.
- Assist with educational webinars and industry conferences to remain current on evolving compliance requirements and provide internal education on key regulatory topics.
- Engage in regulatory small groups and working sessions to help develop, interpret, and support implementation of new rules, guidance, and compliance standards.
- Limited travel as needed based on client relationship requirements (e.g., compliance training) and participation in educational conferences and industry events. Estimated travel is 10% of time.
Skills and Qualifications:
- Law degree and/or equivalent regulatory compliance experience.
- Knowledge and understanding of the Investment Advisers Act of 1940
- 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 Salesforce.
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.
Top Skills
Excel
Outlook
PowerPoint
Salesforce
Word
Similar Jobs
Fintech
The H&B Support Manager supervises Support Specialists, ensuring high client service levels for pre-tax products and team performance. Responsibilities include training, coaching, addressing escalated issues, and collaborating with various departments.
Top Skills:
Microsoft SuiteSalesforceService Cloud
Artificial Intelligence • Cloud • Computer Vision • Hardware • Internet of Things • Software
The Enterprise Implementation Consultant manages customer relationships, facilitating the deployment and adoption of IoT solutions for enterprise customers, ensuring business value through effective communication and training.
Top Skills:
Consultative SkillsIotProject ManagementSaaS
Agency • Digital Media • eCommerce • Professional Services • Software • Analytics • Consulting
The Senior Director, Digital Strategy will shape enterprise digital transformation across health systems and B2B, partnering with leadership to drive client engagements and achieve strategic outcomes.
Top Skills:
AdobeCloudData & AiDigital EngineeringDigital ExperienceMarketing TechnologySalesforce
What you need to know about the NYC Tech Scene
As the undisputed financial capital of the world, New York City is an epicenter of startup funding activity. The city has a thriving fintech scene and is a major player in verticals ranging from AI to biotech, cybersecurity and digital media. It also has universities like NYU, Columbia and Cornell Tech attracting students and researchers from across the globe, providing the ecosystem with a constant influx of world-class talent. And its East Coast location and three international airports make it a perfect spot for European companies establishing a foothold in the United States.
Key Facts About NYC Tech
- Number of Tech Workers: 549,200; 6% of overall workforce (2024 CompTIA survey)
- Major Tech Employers: Capgemini, Bloomberg, IBM, Spotify
- Key Industries: Artificial intelligence, Fintech
- Funding Landscape: $25.5 billion in venture capital funding in 2024 (Pitchbook)
- Notable Investors: Greycroft, Thrive Capital, Union Square Ventures, FirstMark Capital, Tiger Global Management, Tribeca Venture Partners, Insight Partners, Two Sigma Ventures
- Research Centers and Universities: Columbia University, New York University, Fordham University, CUNY, AI Now Institute, Flatiron Institute, C.N. Yang Institute for Theoretical Physics, NASA Space Radiation Laboratory
