Regulatory Operations Specialist

COMPLY

Regulatory Operations Specialist at Comply offering regulatory support services for financial compliance. Advocating for clients and managing support processes in a fast-paced environment.

Posted 5/12/2026full-timeRemote • 🇺🇸 United StatesJunior💰 $55,000 - $70,000 per yearWebsite

Tech Stack

Tools & technologies

PythonSFDCSQL

About the role

Key responsibilities & impact

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.

Requirements

What you’ll need

Must be available to work Monday through Friday, 9-5 (EST)
Bachelor’s Degree with 0-3 years of work experience.
Major in Accounting, Finance, Business or Economics is a plus (but not required.)
Excellent written and verbal communication skills with the ability to listen, articulate, ask questions, and advocate on behalf of our clients.
Ability to accurately analyze and interpret data.
Exceptional organizational and time management skills.
Superior case management, troubleshooting, resolution, and analysis skills.
Ability to perform complex tasks and prioritize multiple projects.
Previous experience in a high-volume call environment and/or client support role is a plus!
Experience with Salesforce.com (or other CRM systems), SaaS technology, MS Office, Python, and SQL software support is a plus!

Benefits

Comp & perks

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.

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Hard Skills & Tools

data analysisregulatory compliancecase managementtroubleshootingresolution skillsproject prioritizationPythonSQLSaaS technologyCRM systems

Soft Skills

customer servicecommunication skillsorganizational skillstime managementcollaborationproblem-solvingadvocacymulti-taskinglistening skillsarticulation