Job Description

Role Description

Comply is seeking a highly experienced and accomplished Partnership Executive 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

• Client Advisory & Consulting
  • 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.
• Strategic Contributions & Service Development
  • 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.
• Internal Resource & Mentorship
  • 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.
• Sales & Business Support
  • 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.
• Thought Leadership & Market Engagement
  • 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.

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).

Benefits

• $155,000 - $180,000 a year
• 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.

Job Tags

Similar Jobs