Note: The job is a remote job and is open to candidates in USA. Comply is the leading provider of compliance SaaS and consulting services for the global financial services sector. They are seeking a Partnership Compliance Consultant to provide consulting services on compliance and regulatory matters, draft disclosure documents, and conduct compliance reviews for financial services clients.
Responsibilities
- Perform both on-site and office-based ongoing consulting services to financial services clients
- Conduct on-site and remote compliance reviews of investment adviser and/or broker dealer firms
- Provide proactive support and timely execution of service deliverables for annual Partnership engagements
- Collaborate with our sales representatives by participating in pre-sales prospect phone calls and occasional prospect on-site meetings, and proposal creation
- Provide guidance and advice to clients on new or existing Comply products/modules
- Prepare and deliver high-quality client content for conferences, webinars, and education materials
- Prepare marketing content and marketing materials as needed
- Participate in the development and maintenance of Comply products and services
- Assist Senior Consultants with various tasks
- Mentor and oversee Partnership Associate Consultants
Skills
- Law or financial 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
- Willingness and ability to periodically travel onsite to clients for consulting duties
- Proficient in Microsoft Office Suite (Excel, Word, PowerPoint, & Outlook)
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