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Responsibilities:
- Assist investment advisers and other financial services firm customers with regulatory obligations.
- File annual updating amendments and other-than-annual amendments for Form ADV.
- Process applications for new representatives of investment adviser and broker-dealer firms, including Form U4.
Qualifications:
- Skilled in problem solving and analytical thinking.
- Ability to multitask in performing complex responsibilities across multiple projects.
- Excellent interpersonal skills, including the ability to manage relationships with stakeholders at all levels.
Comply
Comply is a leading provider of compliance SaaS and consulting services for the global financial services sector. They empower Chief Compliance Officers and their teams to proactively manage regulatory obligations, mitigate risk, and scale with efficiency and confidence, serving thousands of global financial services clients.