COMPLY

• Collaborating with brokers and Comply’s data operations team to troubleshoot and add broker feed connections for Comply’s clients. • Communicating directly with clients on the overall progress of their data reconciliation projects. • Managing inbound queries from clients and the onboarding team via Salesforce ServiceCloud. • Demonstrating services and offerings to clients while identifying cross-sell opportunities. • Preparing large data sets for clients. • Verifying and resolving discrepancies in a timely manner. • Assisting with operations by contributing new ideas toward the team’s expanding scope and effectiveness. • Assisting with bespoke one-time projects.

• 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. • 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. • 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. • Partner with sales teams to support business development efforts.

• 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-paced 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.

• Work with our Comprehensive clients to provide best in class customer service. • Work closely with firm stakeholders to provide weekly reports regarding on-going matters. • Build partnerships with Comprehensive Compliance Consultants working alongside the Comprehensive clients to be effective and efficient with all compliance matters. • 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 Comply for RIA platform 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-paced 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.

• 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. • Coordinate with state and SEC regulators to secure registration for customer firms. • Submit various SEC EDGAR filings, such as Form 13F, Form 13H, and Form ID. • Handle Form D and blue sky filings for private funds. • Complete Form PF for hedge fund, private equity, and venture capital advisers. • Review disciplinary matters affecting customers for proper DRP disclosure. • Coordinate with Comply’s internal compliance experts, client services representatives, and other departments. • Attend team meetings and provide regular reporting to supervisor. • Work with Comply’s proprietary software, including MyRIACompliance and ComplianceGuardian. • Support remote team by clarifying and helping resolve complicated customer matters. • Assist your Regulatory Filings team with various other tasks as assigned.

• Taking ownership of and efficiently managing the onboarding process for multiple clients concurrently. • Identifying project scope and organizing requirements based on clients’ individual needs; ability to proactively communicate with members of the sales organization pre-project kick-off for account details. • Establishing strong relationships and rapport with key stakeholders of each account to ensure a high level of satisfaction. • Becoming a Comply product expert. • Monitoring, tracking, and reporting on where clients are in the Onboarding process to both internal and external teams. • Driving escalation and mitigating client issues if they arise during onboarding. • Training new clients / users on the features of the platform based on their specific needs. • Successfully transitioning clients to the Customer Success team post-onboarding. • Using GuideCX (our Onboarding platform) to manage customer onboarding progress and tasks. • Assist in supporting special projects or other operational functions within the broader onboarding team.

• Perform both on-site and office-based ongoing consulting services to financial services clients. • Conduct on-site and remote compliance reviews of investment adviser and/or broker dealer firms. • Provide proactive support and timely execution of service deliverables for annual Partnership engagements. • Collaborate with our sales representatives by participating in pre-sales prospect phone calls and occasional prospect on-site meetings, and proposal creation. • Provide guidance and advice to clients on new or existing Comply products/modules. • Prepare and deliver high-quality client content for conferences, webinars, and education materials. • Prepare marketing content and marketing materials as needed. • Participate in the development and maintenance of Comply products and services. • Assist Senior Consultants with various tasks. • Mentor and oversee Partnership Associate Consultants.

• Own a portfolio of strategic accounts and serve as the central point of contact for day-to-day inquiries • Proactively manage customer journeys from onboarding to renewal, ensuring continued alignment with business goals • Establish executive-level relationships with customer stakeholders to understand and influence broader organizational goals • Influence customer lifetime value through increased product adoption, satisfaction and overall health • Deliver regular business reviews to ensure customers are achieving – and recognizing – their intended outcomes • Support revenue retention and growth through customer advocacy and reference-ability • Monitor customer health across usage, relationship quality and adoption metrics to mitigate churn risk and identify growth opportunities • Use tools like Gainsight and Salesforce to manage customer health scores and maintain CRM data integrity • Perform in-depth analysis of account performance metrics and proactively develop mitigation or growth strategies • Lead critical issue resolution across departments for strategic or at-risk accounts • Collaborate cross-functionally with product, sales, onboarding and support teams to relay customer feedback and drive improvements • Own the end-to-end renewal process, including forecasting, negotiation and close • Lead commercial conversations around value realization, upsells, cross-sells and expansion planning • Prepare Quarterly Business Reviews and renewal discussions by consolidating relevant data and insights

• Perform set-up and configurations within the Comply platform to effectively activate new client accounts. • Respond efficiently to customer inquiries and maintain exceptional customer satisfaction. • Manage customer account activation implementations to ensure customer satisfaction and meet deadlines. • Review and interpret data received from various sources, identifying any discrepancies in data received and accurately uploading the data into the Comply platform. • Prioritize incoming customer support cases in a high-volume, fast-paced environment. • Manage support case details in our case tracking system. • Respond to customer questions, update clients on project status, and troubleshoot issues promptly. • Collaborate daily with our Technical Support and Product Development teams to represent our customers’ needs, both immediate and long-term. • Manage multiple projects simultaneously, prioritize tasks, and reach deadlines. • Provide efficient productivity and exceed client’s expectations for support.

• Provide proactive consulting services to clients to include drafting disclosure documents, policies and procedures, code of ethics, and providing advice and guidance on a variety of investment adviser compliance and regulatory matters. • Assist clients in managing their Compliance Calendar and related compliance activities using internally developed software. • Actively respond to emails and phone inquiries pertaining to client compliance matters. • Participate in the development of Comply products and services and guide clients on products/modules. • Collaborate with our sales representatives by participating in pre-sales prospect phone calls. • Assist with educational webinars and industry conferences to remain current on evolving compliance requirements and provide internal education on key regulatory topics. • Engage in regulatory small groups and working sessions to help develop, interpret, and support implementation of new rules, guidance, and compliance standards. • Limited travel as needed based on client relationship requirements (e.g., compliance training) and participation in educational conferences and industry events. Estimated travel is 10% of time.