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Core Competencies
Role fitCore Competencies
Use this summary to align your resume positioning with the role.
Demonstrates expertise in compliance consulting within the financial services sector, with a strong focus on regulatory frameworks such as the Advisers Act and FINRA rules. Proven ability to deliver high-quality client engagements, draft comprehensive reports, and support the development of junior consultants.
Highest-signal resume keywords
Compliance Consulting ExperienceKnowledge of Investment Advisers ActProficiency in Microsoft Office SuiteStrong Problem-Solving SkillsExcellent Interpersonal Skills
ATS Keywords
Tailor your resumeApplicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard Skills
Compliance ReviewsMock SEC/FINRA ExaminationsDrafting Risk-Rated Review ReportsRegulatory GuidanceAnalytical Thinking
Soft Skills
Interpersonal SkillsProblem-SolvingClient Relationship Management
Tools & Technologies
RegTechAI-Assisted Compliance Tooling
Industry Keywords
Securities Act of 1933Securities Exchange Act of 1934FINRA Supervision RulesReg BIInvestment AdviserBroker-Dealer
About the role
Key responsibilities & impact- 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 on the Advisers Act, Securities Act of 1933, Securities Exchange Act of 1934, FINRA supervision rules including 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
- Support Associate Consultants’ technical development
- Own client relationships through planning, testing, findings, and remediation guidance
- Contribute to thought leadership
- Help clients get the most from Comply’s technology
Requirements
What you’ll need- 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 approximately 20–30%
- Proficiency in Microsoft Office Suite
- Experience across both investment adviser and broker-dealer regimes preferred
- Comfort with RegTech / AI-assisted compliance tooling preferred
- Applicants 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
- Remote work arrangement
- Equal Opportunity Employer