Top 685 Leading ria Jobs

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Comply —Remote
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- Full-time
- Remote
- Microsoft Excel
- Microsoft Outlook
- US work authorization
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The Bahnsen Group LLC —Minnetonka, MN
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- Full-time
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9d
Director of Wealth Services
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Scientist I - ADA/PK
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11d
Advanced Estate Planning Attorney
Hargrove Firm —Remote
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- Full-time
- Mid-level
- SQL
- In-person
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- 5 years
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Licensed Administrative Assistant/ Practice Manager
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- $64,800 - $78,600 a year
- Full-time
- Background check
- Basic math
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Reconstruction Repair Lead
Dayspring Restoration LLC —Helena, MT
- $27 - $30 an hour
- Overtime
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- Construction site
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Reconstruction Repair Lead
Dayspring Restoration LLC —Missoula, MT
- $26 - $30 an hour
- Overtime
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ASPIRIANT LLC —Austin, TX
- Hybrid work
- 6 years
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- $115,000 - $150,000 a year
- Full-time
- 7 years
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- 7 years
- OSHA
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Head of Wealth Management Compliance City National Bank
City National Bank —New York, NY
- $200,000 - $340,000 a year
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- 5 years
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Trust & Estate Tax Senior
Everforth —Scottsdale, AZ
- $95,000 - $115,000 a year
- Full-time
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Enhanced Compliance Consultant

Comply -
Remote

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Job Details

Full-time
$80,000 - $121,000 a year

Qualifications

Microsoft Excel
Email customer support
Microsoft Outlook
Securities & Exchange Commission
Client inquiry handling
Educational material preparation
Business consulting
Communication platforms
Salesforce Cloud
Securities law compliance support experience
Content development
Compliance documentation
Client management
Sales management systems proficiency
Microsoft Teams
Securities law
Document quality checks
CRM system proficiency
Webinars (training delivery method)
Securities report preparation
Regulatory compliance analysis
Senior level
Conducting sales calls
Stakeholder relationship building
Client interaction via phone calls
Stakeholder management

Full Job Description

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

The Role:

Comply is seeking a polished and accomplished Enhanced Compliance Consultant to join our growing team! Reporting to our Senior Compliance Director, this person will be responsible for providing consulting services on a variety of compliance and regulatory matters, drafting disclosure documents, reviewing marketing materials, and conducting compliance reviews of investment advisers. Our ideal candidate is motivated, detail-oriented, and passionate about delivering high-quality services to our clients by offering innovative and unique solutions to overcome complex challenges.

Responsibilities:

Work with a specified group of investment advisory firms to provide ongoing compliance support.
Actively respond to emails and phone inquiries pertaining to client matters.
Review investment adviser regulatory documents, including P&P Manuals, Form ADV, and marketing materials.
Use CRM (Salesforce), messaging tools (Teams), and internally-developed software to communicate with clients and track deliverables.
Prepare and deliver high-quality client content for conferences, webinars, and education materials.
Participate in the development of Comply products and services, plus guide clients on products/modules.
Collaborate with our sales representatives by participating in pre-sales prospect phone calls.
Utilize your knowledge of investment advisory regulation, compliance, and the RIA business model.
Review and stay up to date on new proposed and approved investment advisory rules and regulations.

Skills and Qualifications:

Significant compliance experience with investment advisers, (ideally) as compliance consultant, securities regulator, or chief compliance officer.
Comprehensive knowledge of the Investment Advisers Act of 1940, along with (ideally) Securities Exchange Acts, state securities laws governing investment advisers, and FINRA rules
Aptitude for engaging in complex problem solving and analytical thinking.
Excellent interpersonal skills, with the ability to manage relationships with clients, colleagues, and stakeholders at all levels.
Proficient in Microsoft Office Suite (Word, Excel, PowerPoint, & Outlook) and Salesforce or other CRM.
Demonstrated ability to work both independently and collaboratively within an environment focused on client services.

The all-in total compensation for this role is $88,000 and $121,000, and is specific to the United States. A reasonable estimate of the base salary range would be $80,000 - $110,000 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.

We may use artificial intelligence (AI) tools to support parts of the hiring process, such as reviewing applications, analyzing resumes, or assessing responses and identifying potential inconsistencies or verification signals in application materials based on available information. These tools assist our recruitment team but do not replace human judgment. Final hiring decisions are ultimately made by humans. If you would like more information about how your data is processed, please contact us.

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