Enhanced Compliance Consultant

TL;DR

Enhanced Compliance Consultant (Regulatory Services): Provide ongoing compliance consulting for investment advisory firms, including reviewing regulatory documents and marketing materials with an accent on Investment Advisers Act of 1940, FINRA rules, and RIA business model. Focus on drafting disclosure documents, conducting compliance reviews, and staying current on proposed and approved investment advisory regulations while using CRM tools to manage client deliverables.

Location: United States

Salary: $80,000–$110,000 per year

Company

hirify.global provides compliance SaaS and consulting services for the global financial services sector.

What you will do

• Provide ongoing compliance support to a specified group of investment advisory firms.
• Respond to client inquiries by email and phone.
• Review investment adviser regulatory documents (including P&P Manuals, Form ADV) and marketing materials.
• Use Salesforce, Microsoft Teams, and internal software to communicate with clients and track deliverables.
• Prepare and deliver client content for conferences, webinars, and education materials.
• Collaborate on product development and support pre-sales prospect calls.

Requirements

• Significant compliance experience with investment advisers (ideally as a compliance consultant, securities regulator, or chief compliance officer).
• Strong knowledge of the Investment Advisers Act of 1940, plus ideally Securities Exchange Acts, state securities laws, and FINRA rules.
• Ability to solve complex compliance problems analytically and with strong attention to detail.
• Excellent interpersonal skills to manage relationships with clients and stakeholders.
• Proficiency with Microsoft Office Suite and Salesforce (or another CRM).
• Work authorization: must be authorized to work for any employer in the United States; company is unable to sponsor or take over sponsorship of an employment visa.

Culture & Benefits

• Remote workplace with a role based in the United States.
• All-in total compensation range stated for the United States: $88,000–$121,000.
• Client-service focused environment with independent and collaborative work.
• Opportunity to contribute to product and service development alongside consulting work.

Hiring process

• Application review and assessment using AI tools to identify potential inconsistencies or verification signals.
• Final hiring decisions made by humans.