Who Are We:
Comply is the leading provider of compliance SaaS and consulting services for the global financial services sector. With more than 5,000 clients and hundreds of employees across the globe, Comply empowers Chief Compliance Officers and their teams to proactively manage regulatory obligations, mitigate risk, and scale with efficiency and confidence.
Comply serves thousands of global financial services clients including broker-dealers, insurers, investment banks, private funds, RIAs, and wealth managers who rely on Comply offerings to power their compliance programs.
The Role:
Comply is seeking a highly experienced and accomplished Partnership Executive Consultant to join our growing Regulatory Services team. This role represents the highest level within the Consultant track and is designed for a seasoned compliance professional who combines deep regulatory expertise with the ability to influence, guide, and elevate both client outcomes and internal capabilities.
Reporting to senior leadership (VP/SVP level), the Partnership Executive Consultant will serve as a senior advisor to clients while also acting as a key internal resource across the organization. This individual will maintain a portfolio of client relationships and deliver high-quality consulting services, while contributing to firmwide initiatives, supporting the development and implementation of new service offerings, and serving as a trusted source of insight and practical guidance for colleagues.
The ideal candidate brings extensive experience under the Investment Advisers Act of 1940, strong industry credibility, and a demonstrated ability to translate complex regulatory requirements into clear, actionable, and business-oriented solutions.
Responsibilities:
Client Advisory & Consulting
- Provide senior-level compliance consulting services to investment advisers and, where applicable, broker-dealers and private fund managers.
- Manage ongoing client relationships and deliver high-quality service across annual engagements and project-based work.
- Conduct and lead complex compliance reviews (remote and on-site), including synthesizing findings into clear, actionable recommendations for client stakeholders.
- Draft and review disclosure documents, policies and procedures, and other regulatory materials.
- Advise clients on regulatory developments, risk areas, and industry best practices.
Strategic Contributions & Service Development
- Contribute to the development, enhancement, and rollout of new and innovative service offerings.
- Support the tactical implementation of new services, including development of methodologies, documentation, and internal guidance.
- Assist in the creation and delivery of internal training to support consistent execution across the consulting team.
Internal Resource & Mentorship
- Serve as a senior subject matter resource for consultants, VPs, and Directors across the organization.
- Provide practical, experience-based guidance on complex regulatory and client issues.
- Support team members by helping troubleshoot challenging scenarios and offering insight grounded in industry best practices.
- Contribute to maintaining high standards of quality and consistency across client deliverables.
Sales & Business Support
- Partner with sales teams to support business development efforts, including:
- Assisting with scoping of engagements and proposal development
- Participating in select prospect calls and meetings
- Provide subject matter expertise to help align client needs with Comply’s services and solutions.
Thought Leadership & Market Engagement
- Represent Comply externally through conference presentations, webinars, and industry events.
- Develop written content, including articles, alerts, and educational materials.
- Monitor and analyze regulatory developments and emerging trends, and translate them into actionable insights for clients and internal teams.
Skills and Qualifications:
- Law degree or advanced compliance experience required.
- Significant experience (typically 8–12+ years) in investment adviser compliance, with strong working knowledge of the Investment Advisers Act of 1940.
- Experience with private funds strongly preferred; familiarity with CFTC/NFA, and/or FINRA requirements is a plus.
- Prior compliance consulting experience a plus.
- Demonstrated ability to analyze complex regulatory issues and provide clear, practical guidance.
- Strong interpersonal and communication skills, with the ability to engage effectively across all levels of an organization.
- Proven ability to operate as a senior individual contributor in a collaborative, client-service environment.
- Experience contributing to service development, training, or internal initiatives is highly valued.
- Willingness and ability to travel as needed.
- Proficiency in Microsoft Office Suite (Excel, Word, PowerPoint, Outlook).
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.