Investment Adviser Compliance Specialist

Comply Careers; United States; Remote; USD 85,000 - 115,000; Full time

Job summary

Comply is seeking a Compliance Consultant in the United States to help financial services clients build and maintain compliant programs by drafting policies, guiding SEC rule interpretation, and serving as a trusted day-to-day resource for broker-dealers, RIAs, and wealth managers.

In this client-facing role you’ll translate complex regulatory requirements into practical guidance and manage multiple engagements.

Qualifications

• Deep working knowledge of the Investment Advisers Act of 1940 and related SEC regulations — you can interpret rules, advise clients on obligations, and draft compliant documentation.
• J.D. or equivalent regulatory compliance experience — developed through in-house compliance roles, regulatory practice, or compliance consulting.
• Strong analytical and problem-solving ability — you work through complex regulatory questions and translate them into clear, actionable guidance.
• Excellent interpersonal skills, with a track record of managing client and stakeholder relationships at all levels — from day-to-day compliance contacts to senior leadership.
• Proficiency with Microsoft Office Suite (Word, Excel, PowerPoint, Outlook).

Responsibilities

• Advise investment adviser clients on a broad range of compliance matters such as drafting disclosure documents, policies and procedures, and codes of ethics tailored to each firm’s structure and regulatory obligations.
• Manage client compliance calendars and related activities through Comply’s platform, helping clients stay ahead of filing deadlines, exam cycles, and regulatory requirements.
• Respond to client email and phone inquiries on compliance matters, acting as a knowledgeable, reliable resource on Investment Advisers Act questions and day-to-day regulatory issues.
• Collaborate with Comply’s product teams to shape platform features and modules, lending your regulatory expertise to development decisions and guiding clients on how to get the most from the tools.
• Join sales representatives on pre-sales calls, helping prospective clients understand Comply’s consulting capabilities and how they map to the prospect’s compliance needs.
• Develop and present educational webinars and industry conference sessions on evolving compliance requirements, contributing to Comply’s thought leadership in the sector.
• Participate in regulatory working groups to interpret new rules and guidance, helping develop standards and supporting clients through periods of regulatory change.
• Stay current on SEC rulemaking and industry trends, and bring insights back to the team through internal education and knowledge sharing.

Skills

Investment adviser compliance

Regulatory guidance

Client advisory

Policy drafting

Risk assessment

Microsoft Office

Education

J.D. or equivalent regulatory compliance experience

Tools

Salesforce

Job description

Comply is seeking a Compliance Consultant in the United States to help financial services clients build and maintain compliant programs by drafting policies, guiding SEC rule interpretation, and serving as a trusted day-to-day resource for broker-dealers, RIAs, and wealth managers.

In this client-facing role you’ll translate complex regulatory requirements into practical guidance and manage multiple engagements.