The Partnership Compliance Consultant provides consulting services on compliance matters, conducts reviews, drafts reports, mentors associates, and collaborates with sales.
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
The Role:
Comply is seeking a polished and accomplished Partnership Compliance Consultant to join our growing team. Reporting to our VP or Senior Compliance Director, this person will be responsible for providing consulting services on a variety of compliance and regulatory matters, drafting disclosure documents, reviewing marketing materials, conducting compliance reviews, and drafting comprehensive reports of review findings and recommendations. Our ideal candidate is motivated, detail-oriented, and passionate about delivering high-quality services to our clients by offering innovative and unique solutions to overcome complex challenges.
Responsibilities:
- Perform both on-site and office-based ongoing consulting services to financial services clients.
- Conduct on-site and remote compliance reviews of investment adviser and/or broker dealer firms.
- Provide proactive support and timely execution of service deliverables for annual Partnership engagements.
- Collaborate with our sales representatives by participating in pre-sales prospect phone calls and occasional prospect on-site meetings, and proposal creation.
- Provide guidance and advice to clients on new or existing Comply products/modules.
- Prepare and deliver high-quality client content for conferences, webinars, and education materials.
- Prepare marketing content and marketing materials as needed.
- Participate in the development and maintenance of Comply products and services.
- Assist Senior Consultants with various tasks.
- Mentor and oversee Partnership Associate Consultants.
Skills and Qualifications:
- Law or financial degree and/or equivalent compliance experience.
- Knowledge and understanding of the Investment Advisers Act of 1940 and/or Securities Exchange Acts, FINRA rules and regulations governing broker dealers.
- Ability to engage in complex problem solving and analytical thinking as required.
- Excellent interpersonal skills, with the ability to manage relationships with colleagues and stakeholders at all levels.
- Demonstrated ability to work effectively within a client service-oriented, collaborative environment.
- Willingness and ability to periodically travel onsite to clients for consulting duties
- Proficient in Microsoft Office Suite (Excel, Word, PowerPoint, & Outlook)
To learn more about our values, mission and the wide-range of perks offered to employees at Comply, visit https://www.comply.com/careers/.
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.
Similar Jobs
Artificial Intelligence • Cloud • HR Tech • Information Technology • Productivity • Software • Automation
Lead design and scaling of role architecture, competency frameworks, collaboration models, and org design governance for the Customer Excellence Group. Partner with leaders, HR, and L&D to translate strategy into practical role mandates, enable role communities, drive stakeholder alignment, and support transformation initiatives to improve organizational effectiveness across a global, matrixed SaaS organization.
Top Skills:
Servicenow
Artificial Intelligence • Cloud • HR Tech • Information Technology • Productivity • Software • Automation
Lead and transform the ServiceNow–Wipro partnership to drive sourced and influenced revenue, architect AI-led joint GTM and co-innovation, build multi-directional ecosystem strategies, and align executive stakeholders across both organizations to execute multi-year joint business plans and governance.
Top Skills:
AIAutomationDataHyperscalersServicenowServicenow Ai
Artificial Intelligence • Cloud • HR Tech • Information Technology • Productivity • Software • Automation
Lead and transform the strategic global partnership with Wipro, driving revenue, pipeline, and co-innovation. Architect AI-led joint GTM, multi-directional ecosystem strategies, joint business plans, and governance. Influence senior executives, align cross-functional teams, and deliver scalable co-created solutions and new business models to accelerate ServiceNow growth.
Top Skills:
AIAutomationDataServicenow
What you need to know about the Chicago Tech Scene
With vibrant neighborhoods, great food and more affordable housing than either coast, Chicago might be the most liveable major tech hub. It is the birthplace of modern commodities and futures trading, a national hub for logistics and commerce, and home to the American Medical Association and the American Bar Association. This diverse blend of industry influences has helped Chicago emerge as a major player in verticals like fintech, biotechnology, legal tech, e-commerce and logistics technology. It’s also a major hiring center for tech companies on both coasts.
Key Facts About Chicago Tech
- Number of Tech Workers: 245,800; 5.2% of overall workforce (2024 CompTIA survey)
- Major Tech Employers: McDonald’s, John Deere, Boeing, Morningstar
- Key Industries: Artificial intelligence, biotechnology, fintech, software, logistics technology
- Funding Landscape: $2.5 billion in venture capital funding in 2024 (Pitchbook)
- Notable Investors: Pritzker Group Venture Capital, Arch Venture Partners, MATH Venture Partners, Jump Capital, Hyde Park Venture Partners
- Research Centers and Universities: Northwestern University, University of Chicago, University of Illinois Urbana-Champaign, Illinois Institute of Technology, Argonne National Laboratory, Fermi National Accelerator Laboratory
