Director, Comprehensive Consulting Services - COMPLY : Job Details

We are COMPLY. For compliance people.

COMPLY is the leading global provider of comprehensive regulatory compliance software and solutions for the financial services sector. Our OneCOMPLY platform provides an all-in-one approach to address firm and employee compliance requirements through a configurable and scalable software-as-a-service (SaaS) platform coupled with expert consulting services.

COMPLY serves thousands of financial services clients including Broker Dealers, Investment Banks, Private Funds, RIAs, and Wealth Managers who rely on COMPLY to power their compliance programs.

To learn more about COMPLY, visit COMPLY.com

COMPLY is seeking a polished and accomplished Director of Comprehensive Consulting Services to join our growing team! Our ideal candidate is motivated, detail-oriented, and passionate about managing a team of professional consultants and directly working with clients delivering high-quality services by offering innovative and unique solutions to overcome complex challenges.

Reporting into our SVP, Compliance Advisory Services, this person will be responsible for overseeing team projects, managing client relationships, and ensuring successful and timely project service delivery. This role involves team leadership, strategic planning, client communication, and business development, with a focus on driving results and maintaining high-quality standards.

The Director of Comprehensive Consulting Services will also be responsible for providing proactive consulting services to a small number of assigned department clients. Such services include drafting disclosure documents, policies and procedures, code of ethics, and providing advice and guidance on a variety of compliance and regulatory matters.

• Team Leadership: Provide guidance, mentorship, and performance management to consulting team members.
• Client Relationship Management: Build and maintain strong relationships with clients, understand their needs and ensure their satisfaction with the consulting services provided.
• Business Development: Identify and pursue new business opportunities, contributing to proposal development, and supporting sales efforts.
• Strategic Planning: Develop and implement strategic plans to address client challenges and achieve their objectives.
• Quality Assurance: Ensure the quality and accuracy of project deliverables.
• Communication and Presentation: Effectively communicate project findings, recommendations, and progress to clients and stakeholders.
• Assist with the preparation of conference and education materials and deliver the content when required.

• Strong leadership and team management skills.
• Knowledge and understanding of the Investment Advisers Act of 1940.
• Ability to engage in complex problem solving and analytical thinking as required.
• Excellent communication and interpersonal skills, with the ability to manage relationships with colleagues and stakeholders at all levels.
• Demonstrated ability to work effectively with a client service-oriented, collaborative environment.
• Proficient in Microsoft Office Suite (Excel, Word, PowerPoint, & Outlook) and Salesforce.

$115,000 - $125,000 a year

The compensation range for this role is specific to the United States. 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. A reasonable estimate of the base salary range for this role would be $115,000- $120,000 plus applicable bonus/benefits offerings, etc., as those similarly situated within the Company.

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.

The company offers a wide range of perks including:

• Comprehensive medical, dental and vision insurance at little to no cost starting on day one
• 401k with a company match
• Supplemental benefits at a discounted rate including home, auto and pet insurance
• Unlimited PTO
• Professional Development reimbursements
• Remote opportunities available for most positions
• Time to get together in person for company happy hours, team offsites and more

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.