全面顾问

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

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, 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.

• Participate in regulatory working groups to interpret new rules and guidance, helping develop standards and supporting clients through periods of regulatory change.

• Stay current on SEC rulemaking and industry trends, and bring insights back to the team through internal education and knowledge sharing.

What success looks like in your first 90 days

• You’ve familiarized yourself with Comply’s platform and client roster, and are handling your first client inquiries with confidence and minimal escalation.

• You’re independently managing a client portfolio, responding to regulatory questions, and contributing to at least one active policy drafting or advisory engagement from start to finish.

You’ve delivered high-quality work across multiple clients, participated in a webinar or internal regulatory update, and identified at least one opportunity to deepen a client relationship or improve a process.

What you’ll bring

Must-have

• Deep working knowledge of the Investment Advisers Act of 1940 and related SEC regulations — you can interpret rules, advise clients on obligations, and draft compliant documentation.

• J.D. or equivalent regulatory compliance experience — developed through in-house compliance roles, regulatory practice, or compliance consulting.

• Strong analytical and problem-solving ability — you work through complex regulatory questions and translate them into clear, actionable guidance.

• Excellent interpersonal skills, with a track record of managing client and stakeholder relationships at all levels — from day-to-day compliance contacts to senior leadership.

• Demonstrated ability to thrive in a client service environment: responsive, organized, and effective at managing competing priorities across multiple engagements simultaneously.

• Proficiency with Microsoft Office Suite (Word, Excel, PowerPoint, Outlook).

Nice-to-have

• Experience working with broker-dealers, private funds, or wealth managers in addition to RIAs.

• Familiarity with Salesforce or compliance management software platforms.

• Experience presenting at industry conferences or developing compliance training programs for clients or internal teams.

The all-in total compensation for this role is $93,500$126,500, and is specific to the United States. A reasonable estimate of the base salary range would be$85,000 - $115,000plus 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 .

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.

Originally posted on Himalayas