COMPLY

Product Marketing

• Product Partnership & Market Insight: Partner closely with product management to understand roadmap priorities, product strategy, and customer problems being solved.
• Adoption, Retention & Expansion Marketing: Own product marketing strategy for adoption, retention, and cross-sell / upsell, aligned with internal stakeholders.
• Sales Enablement & Solution Showcases: Create and maintain sales demos, scripts, and storyline-driven demo flows focused on adoption and expansion.
• Product Launch Strategy & Execution: Serve as a core member of the Go-to-Marketing Launch team, focused on PMM deliverables.
• Thought Leadership, Content & Webinars: Partner with client marketing to develop webinar topics and content themes tied to product capabilities, regulatory trends, and customer challenges.
• Competitive Intelligence & Market Research: Conduct ongoing competitive research and analysis to inform positioning and enablement.
• Customer Programs & Community Enablement: Support the expansion of user groups, workshops, and ComplyConnect technology sessions.

Product Marketing Manager

Onboarding Specialist

• Own and lead end-to-end onboarding for high-value, complex, or strategic accounts, managing multiple concurrent implementations with minimal oversight.
• Serve as a strategic partner and trusted advisor to senior client stakeholders, aligning onboarding outcomes to customer business goals and long-term success.
• Define project scope, timelines, and success criteria; proactively collaborate with Sales, Customer Success, and other internal teams prior to kick-off to ensure seamless handoffs and clear expectations.
• Identify risks early, lead escalations, and drive resolution of onboarding challenges, coordinating across internal teams as needed.
• Act as a Comply product and onboarding subject-matter expert, advising both customers and internal teams on best practices and platform capabilities.
• Monitor, analyze, and report on onboarding progress, trends, and outcomes; provide insights and recommendations to leadership and cross-functional partners.
• Deliver tailored onboarding and advanced platform training for customers based on their specific workflows and maturity.
• Ensure a smooth, high-quality transition of customers to the Customer Success team, including documentation, handoff meetings, and success planning.
• Mentor and support Onboarding Managers by sharing best practices, providing guidance on complex accounts, and contributing to team enablement.
• Drive continuous improvement initiatives, including onboarding processes, tools, templates, and customer experience enhancements.
• Use GuideCX to manage onboarding workflows, while helping refine how the team leverages onboarding technology at scale.
• Partner on special projects and cross-functional initiatives that improve onboarding efficiency, scalability, and customer satisfaction.

Enterprise Onboarding Manager

Salesforce Administrator

• Maintain, configure, and enhance Salesforce instances, including user account management, profiles, roles, permissions, and workflows.
• Ensure optimal system performance by performing regular audits, data integrity checks, and troubleshooting.
• Create and update reports, dashboards, and custom fields to provide actionable insights.
• Manage Salesforce automation tools.
• Lead customization and implementation projects in collaboration with cross-functional teams.
• Collaborate with key cross-functional stakeholders to implement automation, custom objects, and integrations as needed.
• Provide training and technical support for Salesforce users, ensuring adoption and proficiency.
• Act as a liaison between stakeholders and technical teams to gather requirements and deliver tailored solutions.
• Oversee data imports, exports, and deduplication processes to maintain accurate and clean data.
• Implement and monitor data security measures, ensuring compliance with company policies and industry standards.
• Stay updated on Salesforce releases and new features, recommending enhancements to improve system usability.
• Identify opportunities to optimize business processes and workflows using Salesforce.

Senior Salesforce Administrator

Account Executive

• Own the full sales cycle for new registration and ongoing compliance solutions, from discovery through close
• Engage with prospects launching RIAs or seeking to modernize their compliance programs
• Lead thoughtful discovery conversations to understand firm structure, growth plans, and regulatory needs
• Position Comply as a long-term compliance partner, not just a point solution
• Educate prospects on SEC and state registration requirements and ongoing compliance obligations
• Collaborate closely with marketing, partnerships, and customer success to drive pipeline and retention
• Maintain accurate pipeline management and forecasting in Salesforce
• Stay current on regulatory trends impacting RIAs and financial firms

Registration Account Executive

Customer Success Manager

• Serve as the central point of contact for day-to-day inquiries
• Build active and meaningful relationships with customers by understanding their goals and advocating for their needs
• Identify and validate desired outcomes, flag potential roadblocks, and assist in creating client success plan
• Influence customer lifetime value through increased product adoption, satisfaction and overall health
• Deliver regular business reviews to ensure customers are achieving – and recognizing – their intended outcomes
• Support revenue retention and growth through customer advocacy and reference-ability
• Monitor customer health across usage, relationship quality and adoption metrics to mitigate churn risk and identify growth opportunities
• Use tools like Gainsight and Salesforce to manage customer health scores and maintain CRM data integrity
• Perform in-depth analysis of account performance metrics and proactively develop mitigation or growth strategies
• Generate report and insights related to account status, customer success plans and usage metrics
• Act as a liaison between the customer and internal support, product, or technical teams
• Ensure timely follow-up on product issues, support tickets and feature requests
• Document and escalate high-priority concerns to appropriate stakeholders for resolution
• Collaborate cross-functionally with product, sales, onboarding and support teams to relay customer feedback and drive improvements
• Update and contribute to team documentation, knowledge bases, and process improvements
• Assist and partner with the renewals team throughout contract lifecycle
• Help identify upsell and cross-sell opportunities based on customer behavior, business needs, and product usage data

Associate Customer Success Manager

• Taking ownership of and efficiently managing the onboarding process for multiple clients concurrently.
• Identifying project scope and organizing requirements based on clients’ individual needs; ability to proactively communicate with members of the sales organization pre-project kick-off for account details.
• Establishing strong relationships and rapport with key stakeholders of each account to ensure a high level of satisfaction.
• Becoming a Comply product expert.
• Monitoring, tracking, and reporting on where clients are in the Onboarding process to both internal and external teams.
• Driving escalation and mitigating client issues if they arise during onboarding.
• Training new clients / users on the features of the platform based on their specific needs.
• Successfully transitioning clients to the Customer Success team post-onboarding.
• Using GuideCX (our CusOnboarding platform) to manage customer onboarding progress and tasks.
• Assist in supporting special projects or other operational functions within the broader onboarding team.

Onboarding Manager

Solutions Engineer

• Partner with Account Executives and Marketing to drive new business and cross-sell opportunities through expert pre-sales support.
• Lead discovery sessions with prospects to understand their compliance challenges, objectives and goals.
• Translate regulatory and operational requirements into tailored software solutions that address key business needs.
• Configure and deliver engaging, tailored product demonstrations and Proof of Concepts (PoCs) showcasing how our platforms support Compliance best practices and meet their specific business requirements.
• Prepare technical sales collateral, deliver webinars or workshops, support RFP responses, and attend customer/trade events as required.
• Collaborate with Product Management teams to communicate client feedback, competitive insights, market opportunities and influence roadmap priorities.
• Stay informed about evolving regulatory frameworks including SEC, FINRA, CFTC/NFA and similar regimes globally.
• Visit prospect/client sites and attend remote sessions; some travel will be required.

Enterprise Solutions Engineer

• Prospect within your assigned territory in order to build a pipeline and achieve sales goals
• Lead demos showcasing our Comply for RIA, Illumis, and Comply Platform online compliance software applications and other products and services to prospective clients
• Accurately maintain your pipeline and provide reliable forecasts
• Utilize your creativity and drive to build relationships and close business
• Attend various sales events including meetings, seminars, and training
• Track and forecast all activities via Salesloft and Salesforce CRM

Customer Support

• Perform set-up and configurations within the Comply platform to effectively activate new client accounts.
• Respond efficiently to customer inquiries and maintain exceptional customer satisfaction.
• Manage customer account activation implementations to ensure customer satisfaction and meet deadlines.
• Review and interpret data received from various sources, identifying any discrepancies in data received and accurately uploading the data into the Comply platform.
• Prioritize incoming customer support cases in a high-volume, fast-paced environment.
• Manage support case details in our case tracking system.
• Respond to customer questions, update clients on project status, and troubleshoot issues promptly.
• Collaborate daily with our Technical Support and Product Development teams to represent our customers’ needs, both immediate and long-term.
• Manage multiple projects simultaneously, prioritize tasks, and reach deadlines.
• Provide efficient productivity and exceed client’s expectations for support.

Customer Support Representative

Compliance

• Review client emails using a combination of keyword flags and random sampling to identify potential issues.
• Assist with various regulatory filing processes, such as Form 13F.
• Review client marketing materials for consistency with applicable SEC or state regulatory requirements.
• Perform trade statement analysis to identify violations of client trading restrictions.
• Help administer client code of ethics requirements via Comply platform, including:
• Employee onboarding and offboarding assistance.
• Certification and Attestation management by assisting with creation and editing of certifications.
• Employee Personal Trading system maintenance by adding requested new accounts, reviewing preclearance request exception reports, and quarterly reporting.
• Gifts and Entertainment maintenance and administration by reviewing submissions and reporting findings.
• Outside Business Activities maintenance and administration by reviewing submissions and reporting findings.
• List maintenance (restricted, auto-approve, etc.) by adding and removing securities from lists based on client’s specific update items.
• Standard report creation and maintenance by preparing standard out-of-the-box reports from Comply.
• Review client political contributions submissions via Comply’s Illumis platform and report any findings.
• Assist Managed Services team with various other tasks.

Managed Services Compliance Analyst

Content Marketing Manager

• Develop authoritative, educational, and thought leadership content that helps clients understand evolving regulatory requirements.
• Transform complex regulations into actionable insights and build scalable educational frameworks for clients.
• Collaborate with cross-functional teams to ensure regulatory clarity and trust in Comply's offerings.
• Produce materials such as whitepapers, briefings, and webinars that reinforce regulatory thought leadership.