Partnership Compliance Architect — Client-Facing & Impact

Comply Careers; United States; Hybrid; USD 110,000 - 140,000; Full time

Job summary

Comply is seeking a Partnership Compliance Consultant to run on-site and remote compliance reviews and mock exams for investment adviser and broker‑dealer clients. You’ll translate findings into clear, risk-rated reports and own the client relationship through the full review cycle.

You’ll mentor Associate Consultants, contribute to thought leadership, and help clients maximize Comply’s technology while traveling to client sites as engagements require.

Qualifications

• Law or finance degree and/or equivalent compliance experience.
• Strong problem-solving and analytical thinking.
• Excellent interpersonal skills across all levels.
• Willingness to travel to client sites (approx. 20–30%).
• Proficiency in Microsoft Office Suite.

Responsibilities

• Deliver on-site and office-based consulting to financial-services clients.
• Conduct compliance reviews, mock SEC/FINRA examinations, and branch office reviews of investment adviser and/or broker-dealer firms.
• Provide proactive support and timely delivery on Partnership engagements.
• Draft clear, risk-rated review reports with prioritized findings and remediation recommendations.
• Advise across the Advisers Act, the Securities Act of 1933 and Securities Exchange Act of 1934, FINRA supervision rules (e.g., 3110/3120), and Reg BI.
• Prepare and deliver client content for conferences, webinars, and education materials.
• Guide clients on Comply products, and partner with sales on pre-sales calls and proposals.
• Review Associate Consultants’ workpapers and findings for quality, and support their technical development.

Skills

Problem-solving

Interpersonal skills

Travel willingness

Microsoft Office

RegTech / AI tooling

Education

Law or finance degree

Tools

Microsoft Office Suite

Job description

Comply is seeking a Partnership Compliance Consultant to run on-site and remote compliance reviews and mock exams for investment adviser and broker‑dealer clients. You’ll translate findings into clear, risk-rated reports and own the client relationship through the full review cycle.

You’ll mentor Associate Consultants, contribute to thought leadership, and help clients maximize Comply’s technology while traveling to client sites as engagements require.