Partnership Compliance Consultant

TL;DR

Partnership Compliance Consultant (Financial Services): Providing consulting services on compliance and regulatory matters for investment advisers and broker-dealers, including drafting disclosure documents, reviewing marketing materials, and conducting compliance reviews. Focus on delivering innovative solutions to overcome complex regulatory challenges and preparing comprehensive reports with recommendations.

Location: Remote (United States) Must be authorized to work for any employer in the United States; no visa sponsorship available. Willingness to travel onsite to clients periodically.

Salary: $105,000 - $135,000 a year (total compensation $115,500 - $143,500)

Company

Leading provider of compliance SaaS and consulting services for the global financial services sector, serving 5,000+ clients including broker-dealers, insurers, and RIAs.

What you will do

• Perform on-site and office-based consulting services to financial services clients.
• Conduct on-site and remote compliance reviews of investment adviser and broker-dealer firms.
• Provide proactive support and execute deliverables for annual Partnership engagements.
• Collaborate with sales on pre-sales calls, meetings, and proposals.
• Guide clients on hirify.global products and prepare content for conferences, webinars, and marketing.
• Participate in product development, assist senior consultants, and mentor associates.

Requirements

• Law or financial degree and/or equivalent compliance experience.
• Knowledge of Investment Advisers Act of 1940, Securities Exchange Acts, FINRA rules for broker-dealers.
• Ability to engage in complex problem-solving and analytical thinking.
• Excellent interpersonal skills and relationship management at all levels.
• Demonstrated ability to work in a client-service oriented, collaborative environment.
• Proficiency in Microsoft Office Suite (Excel, Word, PowerPoint, Outlook).
• Willingness to travel onsite to clients periodically.