At COMPLY, our team is dedicated to helping you COMPLY with confidence. Empowering 1–2-person shops with an all-in-one solution. Supporting 5,000-person firms with a comprehensive solution designed to meet complex challenges. And everything in between.  

We are the first call for CCOs because we get it. We know the challenges. We understand the industry. And we can help you achieve COMPLYance. 

Feb 13, 2024  
COMPLY  is seeking a polished and accomplished  Senior Compliance Consultant  to join our growing team!  Reporting to the Team Manager, Consulting Services, the Senior Consultant will be responsible for providing consulting services to assigned department clients. Such services include the preparation and filing of investment adviser and broker-dealer registration documents, drafting of disclosure documents, policies and procedures, code of ethics, and providing consulting services on a variety of compliance and regulatory matters. The Senior Consultant will act as leading role on significant client engagements, including on-site compliance reviews of investment advisers, private fund advisers, and broker dealer firms. Where appropriate, the Senior Consultant will assist in the training and development of department Associates and Consultants, and will participate in the development and maintenance of  COMPLY   products and services. Please see the job posting for...
COMPLY Remote Full time