Compliance Consultant

COMPLY

Enhanced Compliance Consultant offering consulting services on compliance matters for financial services. Collaborating with advisory firms to manage regulatory obligations and mitigate risks.

Posted 7/16/2026full-timeRemote • 🇺🇸 United StatesMid-LevelSenior💰 $80,000 - $110,000 per yearWebsite

Core Competencies

Role fit

Core Competencies

Use this summary to align your resume positioning with the role.

Demonstrates extensive compliance expertise in investment advisory regulations, including the Investment Advisers Act of 1940, while effectively managing client relationships and delivering high-quality educational content. Proficient in utilizing CRM tools and Microsoft Office Suite to support compliance initiatives and client services.

Highest-signal resume keywords

Compliance ExperienceInvestment Advisers Act of 1940Microsoft Office SuiteSalesforce CRMInterpersonal Skills

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

Compliance SupportRegulatory Document ReviewAnalytical ThinkingProblem SolvingClient Content Preparation

Soft Skills

Interpersonal SkillsRelationship ManagementCollaboration

Tools & Technologies

SalesforceMicrosoft Office SuiteTeams

Industry Keywords

Investment Advisory RegulationRIA Business ModelSecurities Exchange ActsState Securities LawsFINRA Rules

About the role

Key responsibilities & impact

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.

Requirements

What you’ll need

Significant compliance experience with investment advisers, (ideally) as compliance consultant, securities regulator, or chief compliance officer.
Comprehensive knowledge of the Investment Advisers Act of 1940, along with (ideally) Securities Exchange Acts, state securities laws governing investment advisers, and FINRA rules
Aptitude for engaging in complex problem solving and analytical thinking.
Excellent interpersonal skills, with the ability to manage relationships with clients, colleagues, and stakeholders at all levels.
Proficient in Microsoft Office Suite (Word, Excel, PowerPoint, & Outlook) and Salesforce or other CRM.
Demonstrated ability to work both independently and collaboratively within an environment focused on client services.

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. Compliance Consultant Job not on LinkedIn 🔥 12 minutes ago 🇺🇸 United States – Remote 💵 $80k - $110k / year ⏰ Full Time 🟡 Mid-level 🟠 Senior 🚔 Compliance Apply Now Find Hiring Managers Customize resume + cover letter Report problem ☆ Save ☑️ Mark as applied ❌ Hide 📋 Description
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. 🎯 Requirements
Significant compliance experience with investment advisers, (ideally) as compliance consultant, securities regulator, or chief compliance officer.
Comprehensive knowledge of the Investment Advisers Act of 1940, along with (ideally) Securities Exchange Acts, state securities laws governing investment advisers, and FINRA rules
Aptitude for engaging in complex problem solving and analytical thinking.
Excellent interpersonal skills, with the ability to manage relationships with clients, colleagues, and stakeholders at all levels.
Proficient in Microsoft Office Suite (Word, Excel, PowerPoint, & Outlook) and Salesforce or other CRM.
Demonstrated ability to work both independently and collaboratively within an environment focused on client services. 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 Senior Engineer, Regulatory Affairs and Certification – Vehicle Safety 🔥 1 hour ago Mitsubishi Motors North America, Inc. 201 - 500 🚗 Transport 🛍️ eCommerce Website LinkedIn All Job Openings Supporting Mitsubishi Motors' regulatory compliance for vehicle safety. Managing coordination and communication with various stakeholders in the automotive safety domain. 🇺🇸 United States – Remote ⏰ Full Time 🟠 Senior 🚔 Compliance Compliance Analyst – Corrections 🔥 2 hours ago SmithRx 51 - 200 ⚕️ Healthcare Insurance ☁️ SaaS 🤝 B2B Website LinkedIn All Job Openings Compliance Analyst assisting in operational aspects of implementing compliance programs at SmithRx. Focus on remediation of identified non-compliance and supporting the corporate compliance department. 🇺🇸 United States – Remote 💵 $107.1k - $126k / year 💰 $20M Series B on 2022-03 ⏰ Full Time 🟡 Mid-level 🟠 Senior 🚔 Compliance Compliance Analyst 🔥 4 hours ago Aspirus Health 10,000+ employees ⚕️ Healthcare Insurance Website LinkedIn All Job Openings Compliance Analyst conducting audits on reimbursement issues and collaborating with stakeholders across UW Health. Utilizing coding expertise to ensure compliance in billing practices. 🇺🇸 United States – Remote 💵 $68.5k - $102.7k / year ⏰ Full Time 🟡 Mid-level 🟠 Senior 🚔 Compliance Supervisor, Clinical Compliance, RN 🔥 12 hours ago Guide Healthcare 51 - 200 ⚕️ Healthcare Insurance 🎯 Recruiter Website LinkedIn All Job Openings Remote Medical Assistant Supervisor managing clinical compliance operations for Guidehealth. Ensuring high-touch patient engagement and addressing social determinants of health in a fast-paced environment. 🇺🇸 United States – Remote 💵 $85k - $90k / year ⏰ Full Time 🟡 Mid-level 🟠 Senior 🚔 Compliance Senior Manager, Governance Risk & Compliance 🔥 12 hours ago Sound Physicians 5001 - 10000 🤝 B2B Website LinkedIn All Job Openings Senior Manager, Governance, Risk, and Compliance leading information security for Sound Physicians. Translating cybersecurity strategy into processes and mentoring GRC team members while delivering key compliance activities. 🇺🇸 United States – Remote 💵 $130k - $160k / year ⏰ Full Time 🟠 Senior 🚔 Compliance 🦅 H1B Visa Sponsor 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 Find jobs using your resume 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