Regulatory Support Representative

Who Are We:

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 looking for a polished, passionate, and empathetic Regulatory Support Representative to join our dynamic team and take our regulatory support services to the next level! In this role, you will be responsible for acting as a liaison between Regulatory Support teams to advocate our clients’ needs, managing client account activation implementations to meet deadlines, and gathering client feedback to improve processes. Our ideal candidate is patient with investigating and troubleshooting to effectively resolve issues, has a “How Can I Help” team first not me first mindset, and thrives in a fast-paced environment focused on providing an exceptional support experience. If you are genuinely excited to help clients, problem-solving comes naturally to you, and you strive to exceed client support expectations, let’s connect! 

• This position has high expectations as you will have extensive exposure to our Regulatory, Product Management and Sales teams at all levels. If you excel in this role, there is potential for advancement, learning, and overall career development within the organization! This representative role is the base position for the Regulatory Support vertical with opportunities to be promoted upward to a specialist role with tenure. 

• Deliver client support on regulatory filing requests by nurturing cross-departmental collaboration with analysts, consultants, and product development teams to enhance client experience. 
• Educate clients on the features of the MyRIACompliance software and their included services to help clients optimize value.
• Respond efficiently to client inquiries and maintain exceptional client satisfaction.
• Review and interpret data received from various sources, identifying any discrepancies in data received.
• Provide one-on-one assistance to clients through phone and email interaction as well as scheduled calendar meetings. 
• Ability to proactively manage a book of cases, multi-task, triage incoming requests, in a fast-faced environment efficiently with ethical integrity. 
• Manage regulatory support case details in our Salesforce case tracking system.
• Respond to client questions, update clients on project status, and troubleshoot issues in a timely manner.
• Collaborate daily with other internal departments such as Client Support, Product, Development, and Compliance teams to our clients’ needs, both immediate and long-term.
• Provide client feedback and internal recommendations to product team for software enhancement.
• Serve as a partner to the Analyst team to manage regulatory filings through its lifecycle.
• ·Collaborate with senior management to support strategic planning and decision making on compliance related issues. 

• Must be available to work Monday through Friday, 9-5 (EST)
• Bachelor’s Degree with 0-3 years of work experience.
• Major in Accounting, Finance, Business or Economics is a plus (but not required.)
• ·Excellent written and verbal communication skills with the ability to listen, articulate, ask questions, and advocate on behalf of our clients. 
• Ability to accurately analyze and interpret data.
• Exceptional organizational and time management skills.
• Superior case management, troubleshooting, resolution, and analysis skills.
• Ability to perform complex tasks and prioritize multiple projects.
• Previous experience in a high-volume call environment and/or client support role is a plus!
• Experience with Salesforce.com (or other CRM systems), SaaS technology, MS Office, Python, and SQL software support is a plus!

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.