About the role
Comply is looking for a Partnership Compliance Consultant to run hands-on compliance reviews and mock exams that keep investment adviser and broker-dealer clients exam-ready. You’ll work on-site and remotely with investment adviser and broker-dealer clients, running the compliance reviews and mock exams then translating what you find into clear, risk-rated reports leadership can act on. As the deliverer of our Partnership engagements, you’ll own the client relationship through the full review cycle: planning, testing, findings, and remediation guidance. You’ll also mentor Associate Consultants, contribute to thought leadership, and help clients get the most from Comply’s technology.
You’ll love this role if you’re a motivated, detail-oriented compliance professional who enjoys client-facing work, values variety, and is happy to travel to clients when an engagement calls for it.
What you’ll do
- Deliver on-site and office-based consulting to financial-services clients.
- Conduct compliance reviews, mock SEC/FINRA examinations, and branch office reviews of investment adviser and/or broker-dealer firms.
- Provide proactive support and timely delivery on Partnership engagements.
- Draft clear, risk-rated review reports with prioritized findings and remediation recommendations.
- Advise across the Advisers Act, the Securities Act of 1933 and Securities Exchange Act of 1934, FINRA supervision rules (e.g., 3110/3120), and Reg BI.
- Prepare and deliver client content for conferences, webinars, and education materials.
- Guide clients on Comply products, and partner with sales on pre-sales calls and proposals.
- Review Associate Consultants’ workpapers and findings for quality, and support their technical development.
What you’ll bring
Must-have
- Law or finance degree and/or equivalent compliance experience.
- Prior compliance consulting or firm-side compliance delivery experience.
- Knowledge of the Investment Advisers Act of 1940 and/or the Securities Exchange Act and FINRA rules (including Reg BI).
- Strong problem-solving and analytical thinking.
- Excellent interpersonal skills across all levels.
- Willingness and ability to travel to client sites (approx. 20–30%).
- Proficiency in Microsoft Office Suite.
Nice-to-have
- Experience across both investment adviser and broker-dealer regimes.
- Comfort with RegTech / AI-assisted compliance tooling.
The all-in total compensation for this role is $121,000 and $154,000, and is specific to the United States. A reasonable estimate of the base salary range would be $110,000 - $140,000 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/.
Comply is an Equal Opportunity Employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, disability, sex, sexual orientation, gender identity, or national origin. Nothing in this job posting should be construed as an offer or guarantee of employment.
Applicants must be authorized to work for any employer in the United States. Currently, we are unable to sponsor or take over sponsorship of an employment Visa at this time.
Comply is aware of scammers posing as Comply employees and extending job offers via direct messaging, texts and social media platforms. These are fraudulent and should be treated as such. To learn more about this, please review our Statement of Fraudulent Job Offers.
Who Are We:
Comply is the leading provider of compliance SaaS and consulting services for the global financial services sector. With more than 5,000 clients and hundreds of employees across the globe, Comply empowers Chief Compliance Officers and their teams to proactively manage regulatory obligations, mitigate risk, and scale with efficiency and confidence.
Comply serves thousands of global financial services clients including broker-dealers, insurers, investment banks, private funds, RIAs, and wealth managers who rely on Comply offerings to power their compliance programs.
To learn more about Comply, visit comply.com