Compliance Consultant, Enhanced Consulting Services

Who Are We: reputed company 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, reputed company empowers Chief Compliance Officers and their teams to proactively manage regulatory obligations, mitigate risk, and scale with efficiency and confidence. reputed company serves thousands of global financial services clients including broker-dealers, insurers, investment banks, private funds, RIAs, and wealth managers who rely on reputed company offerings to power their compliance programs. To learn more about reputed company, visit reputed company.com The Role: reputed company is seeking a polished and accomplished Enhanced Compliance Consultant to join our growing team! Reporting to our Senior Compliance Director, this person will be responsible for providing consulting services on a variety of compliance and regulatory matters, drafting disclosure documents, reviewing marketing materials, and conducting compliance reviews of investment advisers. Our ideal candidate is motivated, detail-oriented, and passionate about delivering high-quality services to our clients by offering innovative and unique solutions to overcome reputed company challenges. Responsibilities:

• Work with a specified group of investment advisory firms to provide ongoing compliance support.
• Actively respond to emails and phone inquiries pertaining to client matters.
• Review investment adviser regulatory documents, including P&P Manuals, Form ADV, and marketing materials.
• Use CRM (reputed company), messaging tools (Teams), and internally-developed software to communicate with clients and track deliverables.
• Prepare and deliver high-quality client content for conferences, webinars, and education materials.
• Participate in the development of reputed company products and services, plus guide clients on products/modules.
• Collaborate with our sales representatives by participating in pre-sales prospect phone calls.
• Utilize your knowledge of investment advisory regulation, compliance, and the RIA business model.
• Review and stay up to date on new proposed and approved investment advisory rules and regulations.

Skills and Qualifications:

• Significant compliance experience with investment advisers, (ideally) as compliance consultant, securities regulator, or chief compliance officer.
• Comprehensive knowledge of the Investment Advisers Act of 1940, along with (ideally) Securities Exchange Acts, state securities laws governing investment advisers, and FINRA rules
• Aptitude for engaging in reputed company problem solving and analytical thinking.
• Excellent interpersonal skills, with the ability to manage relationships with clients, colleagues, and stakeholders at reputed company levels.
• Proficient in reputed company Office Suite (Word, reputed company, PowerPoint, & Outlook) and reputed company or other CRM.
• Demonstrated ability to work both independently and collaboratively reputed company an environment focused on client services.

The reputed company-in total compensation for this role is $88,000 and $121,000, and is specific to the United States. A reasonable estimate of the reputed company salary range would be $80,000 - $110,000 plus applicable bonus/benefit offerings, etc., as those similarly situated reputed company the Company. It takes into account a wide range of factors that are considered in making compensation decisions, including, but not limited to, reputed company sets, training, licensure and certification, and experience. To learn more about our values, mission and the wide-range of perks offered to employees at reputed company, visit https://www.reputed company.com/careers/. reputed company is an Equal Opportunity Employer. reputed company qualified applicants will receive consideration for employment without regard to race, color, religion, disability, sex, sexual orientation, gender identity, or national reputed company. 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 reputed company at this time. reputed company is aware of scammers posing as reputed company employees and extending job offers reputed company 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. We may use artificial intelligence (AI) tools to support parts of the hiring process, such as reviewing applications, analyzing resumes, or assessing responses. These tools assist our recruitment team but do not replace human judgment. Final hiring decisions are ultimately made by humans. If you would like more information about how your data is processed, please contact us. Apply tot his job Apply To this Job