Remote Investment Adviser Compliance Consultant

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

Job summary

Comply is seeking a Compliance Consultant to advise financial services clients on compliance matters, draft policies, and guide firms through evolving SEC regulations. You will work as a client-facing individual contributor, translating complex regulatory requirements into practical guidance.

You’ll join a tech-enabled consultancy focused on reshaping how compliance gets done, managing multiple client engagements and contributing to thought leadership through webinars and trainings.

Qualifications

• Deep working knowledge of the Investment Advisers Act of 1940 and SEC regulations.
• Strong ability to interpret rules and draft compliant documentation.
• Proven experience in a client service environment with multiple engagements.

Responsibilities

• Advise investment adviser clients on compliance matters and draft policies, procedures, and codes of ethics.
• Manage client compliance calendars and use Comply’s platform to track deadlines and regulatory requirements.
• Respond to client inquiries on SEC rules and day-to-day regulatory issues; collaborate with product teams to shape features.

Skills

Regulatory expertise

Client management

Analytical thinking

Communication

Education

J.D. or equivalent

Tools

Microsoft Office Suite

Job description

Comply is seeking a Compliance Consultant to advise financial services clients on compliance matters, draft policies, and guide firms through evolving SEC regulations. You will work as a client-facing individual contributor, translating complex regulatory requirements into practical guidance.

You’ll join a tech-enabled consultancy focused on reshaping how compliance gets done, managing multiple client engagements and contributing to thought leadership through webinars and trainings.