COMPLY
The Role:
Comply is seeking a highly experienced and accomplished PartnershipExecutive 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:
- 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.
- 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.
- 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.
- 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.
- 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.
Sales & Business Support
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).
Originally posted on Himalayas
To apply for this job please visit himalayas.app.
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