Remote opportunity at
ConfluenceCompliance Services Consultant
Confluence operates in the investment data sector, maintaining a global footprint and partnering with various firms internationally. The organization is currently hiring a Compliance Services Consultant…
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About This Role
Confluence operates in the investment data sector, maintaining a global footprint and partnering with various firms internationally. The organization is currently hiring a Compliance Services Consultant to work remotely within the United States. In this full-time role, the professional will manage a defined portfolio of consulting clients and act in outsourced Chief Compliance Officer capacities for wealth management, private fund, and investment company clients. Operating under the direction of the…
Job Description
Confluence operates in the investment data sector, maintaining a global footprint and partnering with various firms internationally. The organization is currently hiring a Compliance Services Consultant to work remotely within the United States. In this full-time role, the professional will manage a defined portfolio of consulting clients and act in outsourced Chief Compliance Officer capacities for wealth management, private fund, and investment company clients. Operating under the direction of the Executive Director of Compliance Services, the individual will guide clients through routine compliance duties as well as heightened regulatory matters such as exams and remediation efforts related to the Investment Advisers Act, Securities Exchange Act, and Investment Company Act. Although primarily aligned with the private fund practice area, the position involves working across multiple client categories including institutional, retail, and registered investment companies.
The role suits an experienced regulatory compliance professional who can translate complex rules into actionable solutions. Responsibilities include conducting annual reviews and risk assessments, managing client relationships, overseeing junior team members on compliance functions, and participating in mock exams and regulatory filings. Ideal candidates align with the company values of integrity, imagination, discipline, and service.
Responsibilities
- Manage a focused portfolio of consulting clients
- Serve in limited outsourced Chief Compliance Officer positions for wealth management, private fund, and investment company clients
- Provide guidance to assigned clients during routine compliance matters and heightened regulatory events such as exams and remediations
- Execute annual reviews and risk assessments
- Lead client relationships for the assigned team
- Assist and oversee junior team members in compliance functions like personal trade review, email review, firm trade monitoring, and restricted lists
- Participate as a lead or team member on mock exams, risk assessments, registrations, and filings
- Interpret regulatory requirements and provide practical compliance solutions to covered clients
Requirements
- At least 7 years of experience in the regulated investment industry within compliance as a practitioner, consultant, or regulator
- At least 3 years of experience as an in-house Chief Compliance Officer
- Strong working knowledge of the Investment Advisers Act of 1940, Investment Company Act of 1940, and Securities Exchange Act of 1934
- Working knowledge of multi-jurisdictional and international regulation such as major shareholding, position limits, and AIFMD
- Specialized hands-on experience with private fund structures including private equity, private credit, real estate, and hedge fund managers
- Proficiency in regulatory filing platforms including IARD, CRD, PFRD, and EDGAR
- Proficiency in the Microsoft product suite and using artificial intelligence to improve efficiency
- Strong written and verbal communication skills with the ability to interact professionally with C-Suite executives and regulators
Qualifications
- Bachelor's degree or equivalent combination of experience and industry certification
- Law degree or equivalent
- Professional designations or industry licenses such as IACCP, CAMS, CRCP, or CFE
- Recent experience working for a U.S. regulator
Core Skills
Benefits
- Generous time off packages including additional half days with each public holiday in the employee's location
- Global career development opportunities
- Social events
- Referral bonus scheme of up to $3,000 per successful referral
- Flexible working options
Frequently Asked Questions
Answers are based only on the employer’s listing; where it doesn’t say, neither do we.
Where is this job located?
The posting specifies that this role is remote within the United States, with flexible working options available.
What is the employment type?
This is a full-time position.
What experience is required for this role?
Candidates must have at least 7 years of experience in the regulated investment industry focusing on compliance, plus at least 3 years of experience functioning as an in-house Chief Compliance Officer.
What is the salary for this position?
The source posting does not specify the salary for this role.
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