Comply dezvoltă tehnologii pentru conformitate cu reglementările și oferă servicii de conformitate firmelor din sectorul serviciilor financiare. Cunoscută anterior ca ComplySci și RIA in a Box, compania reunește într-o platformă integrată fluxurile de lucru privind conformitatea angajaților și a firmelor. Instrumentele sale acoperă monitorizarea tranzacțiilor angajaților, codurile de etică și conflictele de interese, precum și calendarele de conformitate, evaluările riscurilor, revizuirile anuale și elaborarea politicilor. Platforma oferă și arhivarea comunicațiilor, monitorizarea contribuțiilor politice și a activităților comerciale externe, gestionarea cazurilor, raportare și analiză. Capabilitățile agentice ComplyAI, inclusiv un MCP Server, permit echipelor să creeze agenți AI personalizați. Comply deservește fonduri private, administratori de avere, consultanți de investiții înregistrați, brokeri-dealeri, bănci de investiții, fundații și alte instituții financiare. Serviciile sale includ înregistrare, depuneri de documente către autoritățile de reglementare, servicii administrate, consultanță și instruire.
Partnership Compliance Consultant
Conduct SEC and FINRA mock examinations and risk-based reviews for Comply’s financial services clients. Turn findings into practical remediation guidance while helping clients adopt Comply’s compliance technology.
Statele Unite ale Americii110.000 $ – 140.000 $ / an
HibridNormă întreagăNivel mediuSeniorLimbă Obligatorie: englezăConformitateDescriere
- Provide on-site and office-based consulting to financial services clients.
- Conduct compliance reviews, mock SEC and FINRA examinations, and branch reviews for investment advisers and broker-dealers.
- Deliver responsive support and meet agreed timelines for Partnership engagements.
- Write clear, risk-rated reports that prioritize findings and recommend remediation steps.
- Advise clients on the Advisers Act, the Securities Act of 1933, the Securities Exchange Act of 1934, FINRA supervision rules including 3110 and 3120, and Regulation Best Interest.
- Develop and present client materials for conferences, webinars, and educational programs.
- Explain Comply products to clients and support sales teams on pre-sales calls and proposals.
- Check Associate Consultants’ workpapers and findings for quality.
- Help Associate Consultants build their technical skills.
- Manage client relationships from engagement planning and testing through findings and remediation guidance.
- Contribute to industry thought leadership.
- Help clients make effective use of Comply’s technology.
Cerințe
- A law or finance degree, or equivalent compliance experience.
- Previous experience in compliance consulting or delivering compliance services within a firm.
- Knowledge of the Investment Advisers Act of 1940 and/or the Securities Exchange Act and FINRA rules, including Regulation Best Interest.
- Strong analytical and problem-solving skills.
- Excellent interpersonal skills when working with people at all levels.
- Ability and willingness to travel to client sites about 20–30% of the time.
- Proficiency with Microsoft Office Suite.
- Experience with both investment adviser and broker-dealer regulatory frameworks is preferred.
- Familiarity with regulatory technology or AI-assisted compliance tools is preferred.
- Authorization to work for any employer in the United States is required.
- The employer is currently unable to sponsor or assume sponsorship of an employment visa.
Beneficii
- Bonus and benefit offerings, where applicable.
- A broad range of employee perks.
- Remote work arrangement.
- Equal opportunity employer.