Who Are We: Comply is the leading provider of compliance SaaS and consulting services for the global financial services sector. Backed by Edison Partners.
About the role
Comply is looking for a Compliance Consultant to help financial services clients build, strengthen, and maintain compliance programs through expert advisory work. This includes drafting policies, guiding firms through evolving SEC regulations, and serving as a trusted day-to-day resource across a diverse book of broker-dealers, RIAs, private funds, and wealth managers. Found on 1752vc Careers, the job board for startup and VC roles.
What they're looking for
- Advise investment adviser clients on a broad range of compliance matters such as drafting disclosure documents, policies and procedures, and codes of ethics tailored to each firm’s structure and regulatory obligations
- Manage client compliance calendars and related activities through Comply’s platform, helping clients stay ahead of filing deadlines, exam cycles, and regulatory requirements
- Respond to client email and phone inquiries on compliance matters, acting as a knowledgeable, reliable resource on Investment Advisers Act questions and day-to-day regulatory issues
- Collaborate with Comply’s product teams to shape platform features and modules, lending your regulatory expertise to development decisions and guiding clients on how to get the most from the tools
- Join sales representatives on pre-sales calls, helping prospective clients understand Comply’s consulting capabilities and how they map to the prospect’s compliance needs
- Develop and present educational webinars and industry conference sessions on evolving compliance requirements, contributing to Comply’s thought leadership in the sector
More about this role
About the role
Comply is looking for a Compliance Consultant to help financial services clients build, strengthen, and maintain compliance programs through expert advisory work. This includes drafting policies, guiding firms through evolving SEC regulations, and serving as a trusted day-to-day resource across a diverse book of broker-dealers, RIAs, private funds, and wealth managers. In this client-facing individual contributor role, you’ll bring deep investment adviser compliance expertise and the ability to translate complex regulatory requirements into clear, practical guidance.
You’ll love this role if you genuinely enjoy the craft of compliance consulting, thrive when managing multiple client engagements at once, and want to work inside a technology company that is actively reshaping how compliance gets done.
What you’ll do
- Advise investment adviser clients on a broad range of compliance matters such as drafting disclosure documents, policies and procedures, and codes of ethics tailored to each firm’s structure and regulatory obligations.
- Manage client compliance calendars and related activities through Comply’s platform, helping clients stay ahead of filing deadlines,...
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