Comprehensive Consultant

Overview

This role is for a Compliance Consultant to support financial services clients in building, strengthening, and maintaining compliance programs. You will provide expert advisory services, including drafting policies and disclosures, guiding firms through evolving SEC regulations, and serving as a trusted day-to-day resource to investment adviser compliance teams.

Responsibilities

• Advise investment adviser clients on a broad range of compliance matters, including drafting disclosure documents, policies and procedures, and codes of ethics tailored to each firm’s structure and regulatory obligations.
• Manage client compliance calendars and related activities to help clients stay ahead of filing deadlines, exam cycles, and regulatory requirements.
• Respond to client email and phone inquiries on compliance matters, including Investment Advisers Act questions and day-to-day regulatory issues.
• Collaborate with product teams to shape platform features and modules, applying regulatory expertise to development decisions and advising clients on how to use the tools effectively.
• Join sales representatives on pre-sales calls to explain consulting capabilities and how they align with prospective clients’ compliance needs.
• Develop and present educational webinars and industry conference sessions on evolving compliance requirements.
• Participate in regulatory working groups to interpret new rules and guidance, help develop standards, and support clients through periods of regulatory change.
• Stay current on SEC rulemaking and industry trends, and share insights through internal education and knowledge sharing.

Requirements

• Deep working knowledge of the Investment Advisers Act of 1940 and related SEC regulations.
• J.D. or equivalent regulatory compliance experience developed through in-house compliance roles, regulatory practice, or compliance consulting.
• Strong analytical and problem-solving skills to interpret complex regulatory questions and translate them into clear, actionable guidance.
• Excellent interpersonal skills and a track record of managing client and stakeholder relationships at all levels.
• Demonstrated ability to thrive in a client service environment—responsive, organized, and effective at managing competing priorities across multiple engagements.
• Proficiency with Microsoft Office Suite (Word, Excel, PowerPoint, Outlook).

Preferred Qualifications

• Experience working with broker-dealers, private funds, or wealth managers in addition to RIAs.
• Familiarity with Salesforce or compliance management software platforms.
• Experience presenting at industry conferences or developing compliance training programs for clients or internal teams.

Compensation & Benefits

• All-in total compensation (United States): $93,500 - $126,500
• Base salary estimate (United States): $85,000 - $115,000 plus applicable bonus/benefit offerings

Location

• Remote (United States)

Work Authorization

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.