Remote Partnership Compliance Consultant

Comply; United States; À distance; USD 110 000 - 140 000; Plein temps

Résumé du poste

Comply is seeking a Partnership Compliance Consultant to run hands-on compliance reviews and mock exams for investment adviser and broker-dealer clients. You will manage the full review cycle from planning to remediation, both on-site and remotely, and mentor Associate Consultants while contributing to thought leadership.

You’ll travel to client sites (roughly 20–30%), deliver clear risk-rated reports, and partner with sales on pre-sales calls.

Qualifications

• Must-have degrees in law or finance or equivalent compliance experience.
• Prior compliance consulting or firm-side delivery experience.
• Knowledge of the Investment Advisers Act and/or the Securities Act and FINRA rules (incl. Reg BI).
• 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.

Responsabilités

• 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, 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.

Connaissances

Law or finance degree

Compliance consulting

Investment Advisers Act knowledge

FINRA rules knowledge

Problem-solving

Interpersonal skills

Willingness to travel

MS Office

Formation

Law or finance degree

Description du poste

Comply is seeking a Partnership Compliance Consultant to run hands-on compliance reviews and mock exams for investment adviser and broker-dealer clients. You will manage the full review cycle from planning to remediation, both on-site and remotely, and mentor Associate Consultants while contributing to thought leadership.

You’ll travel to client sites (roughly 20–30%), deliver clear risk-rated reports, and partner with sales on pre-sales calls.