Consultant

Comply

. Advise investment adviser clients on compliance matters, including drafting disclosure documents, policies and procedures, and codes of ethics .

Posted 9/22/2026full-timeRemote • United StatesMid-LevelSenior💰 $85,000 - $115,000 per yearWebsite

Core Competencies

Role fit

Core Competencies

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Demonstrates expertise in compliance advisory for investment advisers, with a strong focus on the Investment Advisers Act of 1940 and SEC regulations. Proficient in managing client relationships and delivering educational content while utilizing compliance management tools effectively.

Highest-signal resume keywords

Investment Advisers Act Of 1940Regulatory Compliance ExperienceClient Relationship ManagementMicrosoft Office SuiteAnalytical And Problem-Solving Skills

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills

Compliance Document DraftingPolicy DevelopmentRegulatory InterpretationClient Portfolio ManagementCompliance Training Development

Soft Skills

Interpersonal SkillsClient Service OrientationTime Management

Tools & Technologies

Comply PlatformSalesforceCompliance Management Software

Certifications & Qualifications

J.D.

Industry Keywords

SEC RegulationsBroker-DealersPrivate FundsWealth ManagersRegulatory Working Groups

About the role

Key responsibilities & impact

Advise investment adviser clients on compliance matters, including drafting disclosure documents, policies and procedures, and codes of ethics
Manage client compliance calendars and related activities through Comply’s platform
Respond to client email and phone inquiries on Investment Advisers Act questions and day-to-day regulatory issues
Collaborate with product teams to shape platform features and modules
Guide clients on maximizing the use of Comply’s tools
Join sales representatives on pre-sales calls and explain Comply’s consulting capabilities
Develop and present educational webinars and industry conference sessions
Participate in regulatory working groups to interpret new rules and guidance
Stay current on SEC rulemaking and industry trends
Contribute insights through internal education and knowledge sharing
Independently manage a client portfolio and contribute to policy drafting or advisory engagements

Requirements

What you’ll need

Deep working knowledge of the Investment Advisers Act of 1940 and related SEC regulations
J.D. or equivalent regulatory compliance experience developed through in-house compliance roles, regulatory practice, or compliance consulting
Strong analytical and problem-solving ability
Excellent interpersonal skills and a track record of managing client and stakeholder relationships at all levels
Ability to thrive in a client service environment and manage competing priorities across multiple engagements simultaneously
Proficiency with Microsoft Office Suite (Word, Excel, PowerPoint, Outlook)
Experience working with broker-dealers, private funds, or wealth managers in addition to RIAs (nice-to-have)
Familiarity with Salesforce or compliance management software platforms (nice-to-have)
Experience presenting at industry conferences or developing compliance training programs (nice-to-have)
Must be authorized to work for any employer in the United States
Currently unable to sponsor or take over sponsorship of an employment visa

Benefits

Comp & perks

Applicable bonus/benefit offerings
Wide-range of perks offered to employees at Comply
Remote work arrangement