Comply - Partnership Executive Consultant
Requirements
• Law degree or advanced compliance experience required. • Experience with private funds strongly preferred; familiarity with CFTC/NFA, and/or FINRA requirements is a plus. • Prior compliance consulting experience a plus. • Demonstrated ability to analyze complex regulatory issues and provide clear, practical guidance. • Strong interpersonal and communication skills, with the ability to engage effectively across all levels of an organization. • Proven ability to operate as a senior individual contributor in a collaborative, client-service environment. • Experience contributing to service development, training, or internal initiatives is highly valued. • Willingness and ability to travel as needed. • Proficiency in Microsoft Office Suite (Excel, Word, PowerPoint, Outlook). • $155,000 - $180,000 a year • The all-in total compensation for this role is $186,000 and $216,000, and is specific to the United States. A reasonable estimate of the base salary range would be $155,000 - $180,000 plus applicable bonus/benefit offerings, etc., as those similarly situated within the Company. It takes into account a wide range of factors that are considered in making compensation decisions, including, but not limited to, skill sets, training, licensure and certification, and experience. • To learn more about our values, mission and the wide-range of perks offered to employees at Comply, visit https://www.comply.com/careers/.
Responsibilities
• Client Advisory & Consulting • Provide senior-level compliance consulting services to investment advisers and, where applicable, broker-dealers and private fund managers. • Manage ongoing client relationships and deliver high-quality service across annual engagements and project-based work. • Conduct and lead complex compliance reviews (remote and on-site), including synthesizing findings into clear, actionable recommendations for client stakeholders. • Draft and review disclosure documents, policies and procedures, and other regulatory materials. • Advise clients on regulatory developments, risk areas, and industry best practices. • Strategic Contributions & Service Development • Contribute to the development, enhancement, and rollout of new and innovative service offerings. • Support the tactical implementation of new services, including development of methodologies, documentation, and internal guidance. • Assist in the creation and delivery of internal training to support consistent execution across the consulting team. • Internal Resource & Mentorship • Serve as a senior subject matter resource for consultants, VPs, and Directors across the organization. • Provide practical, experience-based guidance on complex regulatory and client issues. • Support team members by helping troubleshoot challenging scenarios and offering insight grounded in industry best practices. • Contribute to maintaining high standards of quality and consistency across client deliverables. • Sales & Business Support • Partner with sales teams to support business development efforts, including: • Assisting with scoping of engagements and proposal development • Participating in select prospect calls and meetings • Provide subject matter expertise to help align client needs with Comply’s services and solutions. • Thought Leadership & Market Engagement • Represent Comply externally through conference presentations, webinars, and industry events. • Develop written content, including articles, alerts, and educational materials. • Monitor and analyze regulatory developments and emerging trends, and translate them into actionable insights for clients and internal teams.
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