About the role
Comply is looking for a Partnership Executive Consultant to advise our most important clients while shaping the future of our consulting practice. You’ll be the senior compliance authority clients call when the stakes are highest. You will be leading the most complex reviews for investment advisers, broker-dealers, and private fund managers, and drafting the disclosures and policies that hold up under regulatory scrutiny. Beyond delivery, you’ll shape the practice itself: developing new service offerings, serving as the go-to subject-matter expert, mentoring consultants across the team, and representing Comply externally through thought leadership. You’ll partner with business development as the technical closer on strategic engagements, bringing the credibility that wins senior-level conversations. This is a senior individual-contributor role where your judgment sets the standard for how the whole team practices.
You’ll love this role if you’re a senior compliance professional who wants to keep a hand in client work while mentoring peers, building new services, and representing Comply as a voice in the industry.
What you’ll do
- Provide senior-level compliance consulting to investment advisers, broker-dealers, and private fund managers.
- Lead complex compliance reviews (remote and on-site) and synthesize findings into clear recommendations.
- Advise private fund clients on Form ADV and Form PF filings and private fund compliance obligations.
- Draft and review disclosures, policies and procedures, and other regulatory materials.
- Design and launch new consulting service lines and track adoption.
- Serve as a senior subject-matter resource and mentor for consultants, VPs, and Directors.
- Represent Comply externally through thought leadership and at industry forums (e.g., NSCP),
What success looks like in your first 90 days
- You’re managing a portfolio of senior client relationships and leading complex reviews.
- You’ve become a trusted internal resource for the consulting team on tough regulatory questions.
- You’re contributing to at least one service-development or thought-leadership initiative.
What you’ll bring
Must-have
- Law degree or advanced compliance experience.
- Typically 8–12+ years in investment-adviser compliance, with strong command of the Investment Advisers Act of 1940.
- Private funds experience (Form PF / Form ADV and private fund obligations).
- Proven ability to analyze complex regulatory issues and give practical guidance.
- Strong interpersonal and communication skills across all levels.
- Ability to operate as a senior individual contributor in a client-service environment.
- Willingness and ability to travel as needed.
- Proficiency in Microsoft Office Suite.
Nice-to-have
- Familiarity with CFTC/NFA and FINRA requirements.
- Prior compliance-consulting experience.
- Comfort with RegTech / AI-assisted compliance tooling.
The all-in total compensation for this role is $186,000 and $216,000, and is specific to the United States. A reasonable estimate of the base salary range would be $155,000 - $180,000 plus applicable bonus/benefit offerings, etc., as those similarly situated within the Company. It takes into account a wide range of factors that are considered in making compensation decisions, including, but not limited to, skill sets, training, licensure and certification, and experience.
To learn more about our values, mission and the wide-range of perks offered to employees at Comply, visit https://www.comply.com/careers/.
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.
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.
To learn more about Comply, visit comply.com