Partnership Compliance Consultant

Comply

Partnership Compliance Consultant providing compliance consulting services to financial institutions. Duties include compliance reviews, support, and client guidance within the financial services sector.

Posted 7/27/2026full-timeRemote • 🇺🇸 United StatesMid-LevelSenior💰 $110,000 - $140,000 per yearWebsite

Core Competencies

Role fit

Core Competencies

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

Demonstrates expertise in compliance consulting for financial services, with a strong understanding of regulatory frameworks such as the Investment Advisers Act of 1940 and FINRA regulations. Capable of delivering high-quality client content and collaborating effectively in a client service-oriented environment.

Highest-signal resume keywords

Compliance ConsultingInvestment Advisers Act KnowledgeClient Relationship ManagementMicrosoft Office Suite ProficiencyAnalytical Problem Solving

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills

Compliance ReviewsRegulatory KnowledgeAnalytical ThinkingProposal CreationClient Content Preparation

Soft Skills

Interpersonal SkillsCollaborationMentoring

Certifications & Qualifications

Law DegreeFinancial Degree

Industry Keywords

Financial ServicesBroker DealerSecurities Exchange ActsFINRA RulesClient Service Orientation

About the role

Key responsibilities & impact

Perform both on-site and office-based ongoing consulting services to financial services clients
Conduct on-site and remote compliance reviews of investment adviser and/or broker dealer firms
Provide proactive support and timely execution of service deliverables for annual Partnership engagements
Collaborate with our sales representatives by participating in pre-sales prospect phone calls and occasional prospect on-site meetings, and proposal creation
Provide guidance and advice to clients on new or existing Comply products/modules
Prepare and deliver high-quality client content for conferences, webinars, and education materials
Prepare marketing content and marketing materials as needed
Participate in the development and maintenance of Comply products and services
Assist Senior Consultants with various tasks
Mentor and oversee Partnership Associate Consultants

Requirements

What you’ll need

Law or financial degree and/or equivalent compliance experience
Knowledge and understanding of the Investment Advisers Act of 1940 and/or Securities Exchange Acts, FINRA rules and regulations governing broker dealers
Ability to engage in complex problem solving and analytical thinking as required
Excellent interpersonal skills, with the ability to manage relationships with colleagues and stakeholders at all levels
Demonstrated ability to work effectively within a client service-oriented, collaborative environment
Willingness and ability to periodically travel onsite to clients for consulting duties
Proficient in Microsoft Office Suite (Excel, Word, PowerPoint, & Outlook)

Benefits

Comp & perks

Perks offered to employees
Health insurance
Retirement plans
Professional development opportunities