Regulatory Operations Representative

COMPLY

Regulatory Operations Representative supporting client needs in compliance processes at Comply. Liaising between Regulatory Support and clients while managing accounts and gathering feedback.

Posted 5/27/2026full-timeRemote • 🇺🇸 United StatesJunior💰 $50,000 - $55,000 per yearWebsite

Tech Stack

Tools & technologies

PythonSFDCSQL

About the role

Key responsibilities & impact

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.

Requirements

What you’ll need

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

🌐 Worldwide ❌ Jobs You've Hidden ⭐️ Saved Jobs ✅ Applied Jobs ✉️ Email Alerts 👤 Account COMPLY Website LinkedIn All Job Openings 201 - 500 employees 📋 Compliance 💸 Finance ☁️ SaaS Compliance
Finance
SaaS COMPLY is a comprehensive compliance solutions provider specializing in helping financial services firms navigate state or SEC compliance regulations. Offering software coupled with consulting, education, and support, COMPLY serves a broad range of clients including broker-dealers, hedge funds, insurance companies, investment advisers, and private equity firms. Their solutions include compliance program management, employee compliance monitoring, risk assessments, regulatory filings, and educational services to elevate compliance programs. With a strong focus on regulatory expertise, COMPLY empowers firms to maintain compliance and manage risks effectively. Regulatory Operations Representative 🔥 0 minutes ago 🇺🇸 United States – Remote 💵 $50k - $55k / year ⏰ Full Time 🟢 Junior 🚔 Compliance Apply Now Find Hiring Managers Customize resume + cover letter Report problem ☆ Save ☑️ Mark as applied ❌ Hide 📋 Description
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. 🎯 Requirements
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! Apply Now 📊 Check your resume score for this job Improve your chances of getting an interview by checking your resume score before you apply. Check Resume Score Similar Jobs Compliance Specialist 🔥 23 hours ago ABC Legal Services 201 - 500 🏢 Enterprise 🤝 B2B 📋 Compliance Website LinkedIn All Job Openings Compliance Specialist supporting Process Server contractors in reviewing service events and ensuring compliance with court requirements. Investigating complaints and auditing process server logbooks while working remotely. 🇺🇸 United States – Remote 💵 $15 / hour ⏰ Full Time 🟢 Junior 🚔 Compliance 🚫👨‍🎓 No degree required 🦅 H1B Visa Sponsor Compliance Specialist 🔥 23 hours ago ABC Legal Services 201 - 500 🏢 Enterprise 🤝 B2B 📋 Compliance Website LinkedIn All Job Openings Compliance Specialist ensuring compliance with process server requirements at ABC Legal Services. Reviewing service events, educating process servers, and investigating complaints remotely for multiple US states. 🇺🇸 United States – Remote 💵 $15 / hour ⏰ Full Time 🟢 Junior 🚔 Compliance 🚫👨‍🎓 No degree required 🦅 H1B Visa Sponsor Compliance Specialist 🔥 23 hours ago ABC Legal Services 201 - 500 🏢 Enterprise 🤝 B2B 📋 Compliance Website LinkedIn All Job Openings Compliance Specialist handling service event compliance for ABC Legal Services' Process Server contractors. Investigating complaints and service issues while focusing on effective communication and documentation. 🇺🇸 United States – Remote 💵 $15 / hour ⏰ Full Time 🟢 Junior 🚔 Compliance 🚫👨‍🎓 No degree required 🦅 H1B Visa Sponsor Real Estate Compliance Reviewer 🕒 4 days ago Expert VA 11 - 50 🤝 B2B 🛍️ eCommerce 👥 HR Tech Website LinkedIn All Job Openings Real Estate Compliance Reviewer handling compliance for North Carolina real estate transactions. Reviewing documents, managing submissions, and ensuring compliance standards are met in a remote setup. 🇺🇸 United States – Remote 💵 $40k / year ⏰ Full Time 🟢 Junior 🚔 Compliance Compliance Audit Supervisor 🕒 4 days ago Central Research, Inc. 201 - 500 🏛️ Government 💸 Finance Website LinkedIn All Job Openings Compliance Audit Supervisor overseeing audit processes for Central Research. Managing audit coordination and leading a team while ensuring compliance with regulations. 🇺🇸 United States – Remote 💵 $50k - $60k / year ⏰ Full Time 🟢 Junior 🟡 Mid-level 🚔 Compliance 🚫👨‍🎓 No degree required View More Compliance Jobs 🌐 Worldwide Built by Lior Neu-ner. I'd love to hear your feedback — Get in touch via DM or support@remoterocketship.com Search Search Jobs by country Search jobs by city Search jobs by job title Search entry-level jobs Search junior-level jobs Search senior-level jobs Search jobs by tech stack Search jobs by contract type Search remote internships Search remote part-time jobs Remote jobs Anywhere in the World Companies Hiring Anywhere in the World Companies Hiring Sales People Anywhere in the World Companies Hiring Software Engineers Anywhere in the World Resources Advice Tips for finding remote jobs Interview questions and answers Resume examples Cover letter examples Post a job Affiliates Privacy policy Terms of service Job board SEO course AI Apply Copilot OpenClaw job finder Jobs by Country Remote jobs anywhere in the world (Worldwide remote jobs) Remote jobs United States Remote jobs Australia Remote jobs Brazil Remote jobs Canada Remote jobs France Remote jobs Ireland Remote jobs Germany Remote jobs Netherlands Remote jobs Spain Remote jobs UK Popular Jobs Remote data analyst jobs Remote customer support jobs Remote executive assistant jobs Remote marketing jobs Remote product designer jobs Remote product manager jobs Remote project manager jobs Remote recruiter jobs Remote sales jobs Remote software engineer jobs Jobs by Type Remote full-time jobs Remote part-time jobs Remote contract jobs Remote internship jobs Remote entry-level jobs Remote jobs with no experience required Remote junior jobs (1-3 years of experience) Digital nomad jobs Remote jobs with no degree required Freelance remote jobs Temporary remote jobs Remote jobs hiring now Stay at home mom jobs

ATS Keywords

✓ Tailor your resume

Applicant Tracking System Keywords

Tip: use these terms in your resume and cover letter to boost ATS matches.

Hard Skills & Tools

data analysisregulatory filingcase managementtroubleshootingresolutionproject prioritizationPythonSQLSaaS technologyCRM systems

Soft Skills

communicationorganizational skillstime managementclient advocacycollaborationproblem-solvingmulti-taskingattention to detailclient satisfactionstrategic planning