COMPLY

Consultant

• Provide senior-level compliance consulting services to investment advisers and, where applicable, broker-dealers and private fund managers.
• Manage ongoing client relationships and deliver high-quality service across annual engagements and project-based work.
• Conduct and lead complex compliance reviews (remote and on-site), including synthesizing findings into clear, actionable recommendations for client stakeholders.
• Draft and review disclosure documents, policies and procedures, and other regulatory materials.
• Advise clients on regulatory developments, risk areas, and industry best practices.
• Contribute to the development, enhancement, and rollout of new and innovative service offerings.
• Support the tactical implementation of new services, including development of methodologies, documentation, and internal guidance.
• Assist in the creation and delivery of internal training to support consistent execution across the consulting team.
• Serve as a senior subject matter resource for consultants, VPs, and Directors across the organization.
• Provide practical, experience-based guidance on complex regulatory and client issues.
• Support team members by helping troubleshoot challenging scenarios and offering insight grounded in industry best practices.
• Contribute to maintaining high standards of quality and consistency across client deliverables.
• Partner with sales teams to support business development efforts.

Partnership Executive

Compliance

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Partnership Compliance Consultant

Project Manager

• Lead the planning and execution of 5-10 product launches a year – managing launch tier requirements, objectives, milestones, and deliverables across multiple functions
• Track all moving parts tied to launches — from technical dependencies to operational handoffs — ensuring nothing is missed
• Establish and manage launch governance and standard operating processes, including full tiered launch requirement checklists, readiness reviews, and go/no-go checkpoints
• Serve as the command center for launch status, providing clear visibility to senior and executive leadership
• Drive alignment across Marketing, Product, Engineering, Client Experience, Finance, Revenue Operations, Legal and Partnerships
• Disseminate go-to-market strategy and messaging across all client- and prospect-facing functions
• Ensure smooth collaboration between teams, fostering accountability and shared ownership of launch outcomes
• Coordinate issue response across teams, managing internal communication flow and ensuring customer-facing teams have accurate, timely information during product incidents
• Oversee all teams and individual contributors responsible for internal and external communications tied to launches are delivered on time
• Establish frameworks to measure launch performance, adoption, and business impact
• Lead post-launch reviews, capturing lessons learned and embedding best practices into future processes

GTM Project Manager

• Deliver client support on regulatory filing requests by nurturing cross-departmental collaboration with analysts, consultants, and product development teams to enhance client experience.
• Educate clients on the features of the MyRIACompliance software and their included services to help clients optimize value.
• Respond efficiently to client inquiries and maintain exceptional client satisfaction.
• Review and interpret data received from various sources, identifying any discrepancies in data received.
• Provide one-on-one assistance to clients through phone and email interaction as well as scheduled calendar meetings.
• Ability to proactively manage a book of cases, multi-task, triage incoming requests, in a fast-paced environment efficiently with ethical integrity.
• Manage regulatory support case details in our Salesforce case tracking system.
• Respond to client questions, update clients on project status, and troubleshoot issues in a timely manner.
• Collaborate daily with other internal departments such as Client Support, Product, Development, and Compliance teams to our clients’ needs, both immediate and long-term.
• Provide client feedback and internal recommendations to product team for software enhancement.
• Serve as a partner to the Analyst team to manage regulatory filings through its lifecycle.
• Collaborate with senior management to support strategic planning and decision making on compliance related issues.

Regulatory Operations Representative

Manager

• Lead, mentor, and develop a team of L2/L3 Production Support Engineers.
• Define, track, and optimise key operational metrics including Mean Time to Resolution (MTTR), Mean Time Between Failures (MTBF).
• Lead the diagnosis and resolution of application-level issues using software development techniques and best practices.
• Establish and refine incident management processes. Lead critical incident resolution and coordinate cross-functional response efforts.
• Champion rigorous RCA practices across the team.
• Identify opportunities to streamline support workflows, reduce manual effort through automation, and eliminate toil.
• Serve as the primary technical contact for internal and external stakeholders.
• Maintain oversight of production SaaS platforms, infrastructure stability, and system performance.

Production Support Manager

• Work with our Comprehensive clients to provide best in class customer service.
• Work closely with firm stakeholders to provide weekly reports regarding on-going matters.
• Build partnerships with Comprehensive Compliance Consultants working alongside the Comprehensive clients to be effective and efficient with all compliance matters.
• Deliver client support on regulatory filing requests by nurturing cross-departmental collaboration with analysts, consultants, and product development teams to enhance client experience.
• Educate clients on the features of the Comply for RIA platform and their included services to help clients optimize value.
• Respond efficiently to client inquiries and maintain exceptional client satisfaction.
• Review and interpret data received from various sources, identifying any discrepancies in data received.
• Provide one-on-one assistance to clients through phone and email interaction as well as scheduled calendar meetings.
• Ability to proactively manage a book of cases, multi-task, triage incoming requests, in a fast-paced environment efficiently with ethical integrity.
• Manage regulatory support case details in our Salesforce case tracking system.
• Respond to client questions, update clients on project status, and troubleshoot issues in a timely manner.
• Collaborate daily with other internal departments such as Client Support, Product, Development, and Compliance teams to our clients’ needs, both immediate and long-term.
• Provide client feedback and internal recommendations to product team for software enhancement.
• Serve as a partner to the Analyst team to manage regulatory filings through its lifecycle.
• Collaborate with senior management to support strategic planning and decision making on compliance related issues.

Regulatory Operations Specialist

Financial Planning and Analysis

• Perform monthly variance analysis and explain differences between actual and budgeted results
• Support monthly closing processes in collaboration with the Accounting team
• Calculate and administer complex variable compensation plans, including commission and bonus accruals, ensuring accuracy and alignment with company performance metrics and timely incentive payouts
• Assist in the preparation of annual budgets, forecasts and multi-year planning, providing functional support on revenue, expense and headcount planning to budget owners
• Drive 3 statement financial model development, enhancement and maintenance
• Support internal and external reporting needs on an ongoing and ad hoc basis
• Work extensively with other members of the Finance team to ensure seamless and consistent data rules across the organization
• Identify process improvement opportunities and enhance reporting efficiencies

Senior Financial Analyst

Customer Success Manager

• Embrace the Comply’s value proposition and how it relates to the strategic goals of our clients; provide support, actionable advice, and useful content to drive impact
• Dynamic guidance of the customer lifecycle, with a heavy emphasis on product adoption, to deepen value realization
• Analyze and interpret data as it relates to impact and implementation to initiate proactive solutions
• Closely monitor and report on key metrics, milestones, and client NPS; analyze trends to monitor client health throughout the client journey
• Establish deep knowledge of Comply products and services and how each relates to specific client goals
• Proactively inform leadership and account team partners of lifecycle risks & opportunities; when risk surfaces, project manage solutions-focused resolutions
• Prioritize outreach efforts to mitigate churn and position for expansion/growth
• Partner as a customer advocate by providing product and process feedback to management and/or internal teams as necessary
• Partner with Customer Education to produce high-quality, professional resources to support clients goals and value realization
• Conduct engaging presentations for client groups, including webinars, office hours, optimization calls, etc.
• Participate in team projects that support goals and initiatives of the department
• Be an innovative and collaborative thought leader, continuously assessing team support for all clients and determining new strategies or services that will better drive Comply, implementation, usage and value realization.

• Assist investment advisers and other financial services firm customers with regulatory obligations.
• File annual updating amendments and other-than-annual amendments for Form ADV.
• Process applications for new representatives of investment adviser and broker-dealer firms, including Form U4.
• Coordinate with state and SEC regulators to secure registration for customer firms.
• Submit various SEC EDGAR filings, such as Form 13F, Form 13H, and Form ID.
• Handle Form D and blue sky filings for private funds.
• Complete Form PF for hedge fund, private equity, and venture capital advisers.
• Review disciplinary matters affecting customers for proper DRP disclosure.
• Coordinate with Comply’s internal compliance experts, client services representatives, and other departments.
• Attend team meetings and provide regular reporting to supervisor.
• Work with Comply’s proprietary software, including MyRIACompliance and ComplianceGuardian.
• Support remote team by clarifying and helping resolve complicated customer matters.
• Assist your Regulatory Filings team with various other tasks as assigned.