COMPLY

Compliance

• Work with a specified group of investment advisory firms to provide ongoing compliance support.
• Actively respond to emails and phone inquiries pertaining to client matters.
• Review investment adviser regulatory documents, including P&P Manuals, Form ADV, and marketing materials.
• Use CRM (Salesforce), messaging tools (Teams), and internally-developed software to communicate with clients and track deliverables.
• Prepare and deliver high-quality client content for conferences, webinars, and education materials.
• Participate in the development of Comply products and services, plus guide clients on products/modules.
• Collaborate with our sales representatives by participating in pre-sales prospect phone calls.
• Utilize your knowledge of investment advisory regulation, compliance, and the RIA business model.
• Review and stay up to date on new proposed and approved investment advisory rules and regulations.

Compliance Consultant

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.
• 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.

Senior Salesforce Administrator

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

Sales Development Rep

• Uncover potential opportunities by having conversations and setting meetings with prospective buyers.
• Calling and emailing compliance professionals within a designated territory.
• Partner with an account executive and collaborate on how to best generate sales opportunities.
• Become an expert on the needs of our prospects and our software.
• Work closely with senior team members and leaders to help discover new areas of opportunity.
• Track and forecast all activities via Salesforce and Outreach.
• Represent the COMPLY portfolio of brands with integrity in all internal and external communications.

Sales Development Representative

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.

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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.