The Partnership Executive Consultant provides senior-level compliance consulting to clients, manages relationships, conducts compliance reviews, and contributes to service development. They also support business development and serve as a senior resource for internal teams.
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 highly experienced and accomplished Partnership Executive Consultant to join our growing Regulatory Services team. This role represents the highest level within the Consultant track and is designed for a seasoned compliance professional who combines deep regulatory expertise with the ability to influence, guide, and elevate both client outcomes and internal capabilities.
Reporting to senior leadership (VP/SVP level), the Partnership Executive Consultant will serve as a senior advisor to clients while also acting as a key internal resource across the organization. This individual will maintain a portfolio of client relationships and deliver high-quality consulting services, while contributing to firmwide initiatives, supporting the development and implementation of new service offerings, and serving as a trusted source of insight and practical guidance for colleagues.
The ideal candidate brings extensive experience under the Investment Advisers Act of 1940, strong industry credibility, and a demonstrated ability to translate complex regulatory requirements into clear, actionable, and business-oriented solutions.
Responsibilities:
- Provide senior-level compliance consulting services to investment advisers and, where applicable, broker-dealers and private fund managers.
- Manage ongoing client relationships and deliver high-quality service across annual engagements and project-based work.
- Conduct and lead complex compliance reviews (remote and on-site), including synthesizing findings into clear, actionable recommendations for client stakeholders.
- Draft and review disclosure documents, policies and procedures, and other regulatory materials.
- Advise clients on regulatory developments, risk areas, and industry best practices.
- Contribute to the development, enhancement, and rollout of new and innovative service offerings.
- Support the tactical implementation of new services, including development of methodologies, documentation, and internal guidance.
- Assist in the creation and delivery of internal training to support consistent execution across the consulting team.
- Serve as a senior subject matter resource for consultants, VPs, and Directors across the organization.
- Provide practical, experience-based guidance on complex regulatory and client issues.
- Support team members by helping troubleshoot challenging scenarios and offering insight grounded in industry best practices.
- Contribute to maintaining high standards of quality and consistency across client deliverables.
- Partner with sales teams to support business development efforts, including:
- Assisting with scoping of engagements and proposal development
- Participating in select prospect calls and meetings
- Provide subject matter expertise to help align client needs with Comply’s services and solutions.
- Represent Comply externally through conference presentations, webinars, and industry events.
- Develop written content, including articles, alerts, and educational materials.
- Monitor and analyze regulatory developments and emerging trends, and translate them into actionable insights for clients and internal teams.
Client Advisory & Consulting
Strategic Contributions & Service Development
Internal Resource & Mentorship
Sales & Business Support
Thought Leadership & Market Engagement
Skills and Qualifications:
- Law degree or advanced compliance experience required.
- Significant experience (typically 8–12+ years) in investment adviser compliance, with strong working knowledge of the Investment Advisers Act of 1940.
- Experience with private funds strongly preferred; familiarity with CFTC/NFA, and/or FINRA requirements is a plus.
- Prior compliance consulting experience a plus.
- Demonstrated ability to analyze complex regulatory issues and provide clear, practical guidance.
- Strong interpersonal and communication skills, with the ability to engage effectively across all levels of an organization.
- Proven ability to operate as a senior individual contributor in a collaborative, client-service environment.
- Experience contributing to service development, training, or internal initiatives is highly valued.
- Willingness and ability to travel as needed.
- Proficiency in Microsoft Office Suite (Excel, Word, PowerPoint, Outlook).
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.
Similar Jobs
Healthtech • Social Impact • Software
Own and build Grow Therapy's data security infrastructure: automated data classification, field-level masking/tokenization, encryption and key management, secure data connectors to AI tooling, and access controls. Define a multi-year vision, implement pipelines and services, and partner across Data, Engineering, and Detection & Response to make secure-by-default the company standard.
Productivity • Software • App development • Automation
Lead and scale a Quality Assurance team that validates and qualifies open-source leads for sales readiness. Own hiring, training, QA standards, KPI tracking, and process improvements while partnering with SDRs, Sales, and partners to drive pipeline impact.
Automotive • Big Data • Information Technology • Robotics • Software • Transportation • Manufacturing
Manage and grow a portfolio of strategic fleet accounts across MN, ND, and SD. Drive retention, expansion, and new business (70% account management / 30% new business), negotiate deals, coordinate cross-functional delivery, maintain CRM and pipeline, provide forecasts, and travel frequently to support customer engagement and solution implementation.
Top Skills:
Crm SystemsExcelMicrosoft PowerpointMicrosoft Word
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
