Provide proactive consulting services to clients to include drafting disclosure documents, policies and procedures, code of ethics, and providing advice and guidance on a variety of investment adviser compliance and regulatory matters.
Assist clients in managing their Compliance Calendar and related compliance activities using internally developed software.
Actively respond to emails and phone inquiries pertaining to client compliance matters.
Participate in the development of Comply products and services and guide clients on products/modules.
Collaborate with our sales representatives by participating in pre-sales prospect phone calls.
Assist with educational webinars and industry conferences to remain current on evolving compliance requirements and provide internal education on key regulatory topics.
Engage in regulatory small groups and working sessions to help develop, interpret, and support implementation of new rules, guidance, and compliance standards.
Limited travel as needed based on client relationship requirements (e.g., compliance training) and participation in educational conferences and industry events. Estimated travel is 10% of time.

Law degree and/or equivalent regulatory compliance experience.
Knowledge and understanding of the Investment Advisers Act of 1940
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.
Proficient in Microsoft Office Suite (Excel, Word, PowerPoint, & Outlook) and Salesforce.

Compliance Consultant

Key skills