Partnership Compliance Consultant

Comply; United States; On-site; USD 110,000 - 140,000; Full time

Job summary

Comply seeks a Partnership Compliance Consultant to provide regulatory consulting services. This role includes conducting compliance reviews, preparing marketing content, and collaborating with clients to deliver high-quality services. Ideal candidates should possess a law or financial degree, along with strong analytical and interpersonal skills.

Salary range for this position is $110,000 to $140,000 annually. Join Comply to help empower global financial services clients with efficient compliance solutions.

Qualifications

• Law or financial degree and/or equivalent compliance experience.
• Knowledge of FINRA rules and regulations.
• Excellent interpersonal skills.

Responsibilities

• Conduct on‑site and remote compliance reviews.
• Provide proactive support for annual Partnership engagements.
• Prepare high‑quality client content.

Skills

Law or financial degree

Knowledge of the Investment Advisers Act of 1940

Complex problem-solving

Interpersonal skills

Client-service orientation

Proficiency in Microsoft Office Suite

Education

Law or financial degree

Tools

Microsoft Office Suite

Job description

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 an accomplished Partnership Compliance Consultant to join our growing team. Reporting to our VP or Senior Compliance Director, this person will provide consulting services on a variety of compliance and regulatory matters, draft disclosure documents, review marketing materials, conduct compliance reviews, and draft comprehensive reports of findings and recommendations. The 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.

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 sales representatives by participating in pre‑sales prospect phone calls, 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 materials as needed.
• Participate in development and maintenance of Comply products and services.
• Assist Senior Consultants with various tasks.
• Mentor and oversee Partnership Associate Consultants.

Skills and Qualifications

• Law or financial degree and/or equivalent compliance experience.
• Knowledge 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.
• Excellent interpersonal skills, with 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 travel onsite to clients for consulting duties.
• Proficiency in Microsoft Office Suite (Excel, Word, PowerPoint, Outlook).

Salary: $110,000 - $140,000 a year. All‑in total compensation for this role is $121,000 or $154,000, and a reasonable estimate of the base salary range is $110,000 - $140,000 plus applicable bonus/benefit offerings, etc., as those similarly situated within the Company.

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.