Partnership Compliance Consultant

Role Overview

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

Requirements

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