Partnership Compliance Consultant

Comply

13d • $110,000 - $140,000

About The Position

Comply is seeking a Partnership Compliance Consultant to conduct hands-on compliance reviews and mock examinations for investment adviser and broker-dealer clients. The role involves working both on-site and remotely, managing client engagements throughout the review cycle—from planning and testing through reporting and remediation guidance—and translating findings into clear, risk-rated reports that leadership can act on. The consultant will also mentor Associate Consultants, contribute to thought leadership, and help clients use Comply’s technology effectively. This role suits a motivated, detail-oriented compliance professional who enjoys client-facing work, variety, and travel to client sites when needed.

The position provides consulting to financial-services clients, including compliance reviews, mock SEC and FINRA examinations, and branch office reviews. The consultant advises on relevant securities laws and FINRA rules, supports client education and business development activities, and reviews Associate Consultants’ work for quality. Applicants must be authorized to work for any employer in the United States; visa sponsorship is not available at this time.

Requirements

• 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% of the time.
• Proficiency in Microsoft Office Suite.
• Must be authorized to work for any employer in the United States; visa sponsorship is not available.

Nice To Haves

• Experience across both investment adviser and broker-dealer regimes.
• Comfort with RegTech / AI-assisted compliance tooling.

Responsibilities

• 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 clients on the Advisers Act, the Securities Act of 1933, the Securities Exchange Act of 1934, FINRA supervision rules such as 3110/3120, and Reg BI.
• Prepare and deliver client content for conferences, webinars, and educational materials.
• Guide clients on Comply products and partner with sales on pre-sales calls and proposals.
• Review Associate Consultants’ workpapers and findings for quality and support their technical development.

Benefits

• Applicable bonus and benefit offerings are mentioned; specific benefits are not listed. The posting refers applicants to Comply’s careers page for information about employee perks.

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level
• Education Level: No Education Listed