Comply builds regulatory compliance technology and provides compliance services for financial services firms. Formerly ComplySci and RIA in a Box, the company brings employee and firm compliance workflows together in an integrated platform. Its tools cover employee trade monitoring, codes of ethics and conflicts of interest, alongside compliance calendars, risk assessments, annual reviews and policy building. The platform also supports communications archiving, political contribution and outside business activity monitoring, case management, reporting and analytics. ComplyAI agentic capabilities, including an MCP Server, let teams build custom AI agents. Comply serves private funds, wealth managers and RIAs, broker-dealers, investment banks, endowments and other financial institutions. Its services include registration, regulatory filings, managed services, consulting and education.
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.
Amerika Qo‘shma Shtatlari110 000 $ – 140 000 $ / yil
GibridTo‘liq stavkaO‘rta darajaSeniorTalab Qilinadigan Til: inglizchaMuvofiqlikTavsif
- 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.
Talablar
- 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.
Imtiyozlar
- Bonus and benefit offerings, where applicable.
- A broad range of employee perks.
- Remote work arrangement.
- Equal opportunity employer.