Compliance Services Consultant

Confluence; United States; Remote; USD 120,000 - 190,000; Full time

Benefits offered by this job

Generous Time Off

Global Career Development

Social Events

Referral Bonus

Plus many more

Job summary

Confluence is seeking a Compliance Services Consultant in the United States. The role focuses on senior-level client relationships, complex regulatory matters, and practical compliance solutions across Investment Advisers Act, Securities Exchange Act, and Investment Company Act frameworks.

You will work with experienced professionals, participate in mock exams, risk assessments, and filings, and support a dynamic portfolio of clients in a remote US setting.

Qualifications

• 7+ years in the regulated investment industry, with emphasis in compliance.
• 3+ years as in-house Chief Compliance Officer.

Responsibilities

• Manage a focused portfolio of consulting clients.
• Lead mock exams, risk assessments, registrations and filings.
• Provide practical compliance solutions to clients.
• Supervise junior team members in compliance functions.

Skills

Regulatory knowledge

Client relationship management

Effective communication

Regulatory filing proficiency

Microsoft Office proficiency

AI in compliance

Education

Bachelor’s degree or equivalent

Law degree or equivalent

Professional licenses (IACCP, CAMS, CRCP, CFE)

Tools

IARD

CRD

PFRD

EDGAR

Excel

Job description

Why Confluence?

At Confluence, we’ve always been driven by a commitment to innovation, precision, and partnership in the investment data space. Our global footprint now spans multiple countries, giving our employees the opportunity to get exposure to other countries and cultures. And it stands to reason that none of this would have been possible without the hundreds of hard-working employees who work at Confluence.

Department: Compliance Services

Location: United States

Location: Remote within the US

The Compliance Services Consultant will have the opportunity to own senior-level client relationships, work on complex and varied regulatory matters, collaborate with experienced compliance professionals and share practical solutions that directly influence clients business. This role provides hands on guidance to assigned clients during routine compliance matters as well as heightened regulatory events such as regulatory exams and remediations regarding compliance with the Investment Advisers Act, Securities Exchange Act and/or Investment Company Act (as appropriate) and other applicable regulatory structures with strategic input from senior team members. The ideal candidate is detail-oriented, client-focused, and comfortable translating regulatory rules into actionable steps. This role works under general direction of the Executive Director – Compliance Services.

More about the role & team

The Consultant will manage a focused portfolio of consulting clients and serve in a limited number of outsourced Chief Compliance Officer positions for existing and future investment company, private fund, and wealth management clients. With strategic support from senior team members, the Consultant will manage and appropriately prioritize a dynamic book of consulting clients. The Compliance Services Consultant executes annual reviews and risk assessments, leads the client relationships for the assigned team, assists and oversees junior team members in the performance of compliance functions such as personal trade review, email review and firm trade monitoring and restricted lists. In addition, the Compliance Services Consultant will participate as lead, or as part of a team, on mock exams, risk assessments, registrations and filings. Although the role is primarily aligned to the Private Funds practice area, client engagements will include exposure across Confluence’s Compliance Services’ client base including Retail, Institutional/RIC, and Private Fund firms.

What skills and experience do I need to succeed?

• Strong working knowledge of the relevant securities laws and regulation, including the Investment Advisers Act of 1940, Investment Company Act of 1940, and the Securities Exchange Act of 1934
• Working knowledge of multi-jurisdictional and international regulation such as major shareholding, position limits, AIFMD and others.
• Specialized hands-on experience with a variety of Private Fund structures including private equity, private credit, real estate, and hedge fund managers.
• Strong written and verbal communication skills with ability to interact professionally with clients, including C-Suite executives, and regulators
• Proficient in regulatory filing platforms including IARD, CRD, PFRD, and EDGAR.
• Proficient in Microsoft product suite
• Proficient in using artificial intelligence to improve efficiency
• Demonstrated ability to interpret regulatory requirements and provide practical compliance solutions to covered clients.

EDUCATION

• Bachelor’s degree or equivalent combination of experience and industry certification
• Law degree or equivalent, a plus
• Professional designation or industry licenses (IACCP, CAMS, CRCP, CFE), a plus

EXPERIENCE

• 7+ years’ experience in the regulated investment industry, with particular emphasis in compliance, either as a practitioner, consultant or regulator; preference will be given to candidates with recent experience working for a U.S. regulator.
• 3+ years’ experience as in-house Chief Compliance Officer

What do we offer?

• Generous Time Off packages including additional half days with each public holiday in your location.
• Global Career Development opportunities
• Social Events
• Referral Bonus scheme - Upto $3,000 per successful referral
• Plus many more!

More about the Location

We offer flexible working options for all employees.

Values

• IntegrityFace reality with honesty, courage and accountability
• ImaginationDeal creatively with challenges and envision what the world could be
• DisciplineBuild good habits into reflexes which become a part of our life
• ServiceCommitted to the success of others

Pre-Employment Screening Disclaimer

As part of our recruitment process, we carry out identity checks on all candidates. Offers of employment are conditional upon the completion of satisfactory background checks prior to the commencement of work. These checks may include verification of identity, right to work in the UK, employment history, and other relevant pre-employment screening.

Please note that additional checks may be required depending on the nature of the role and the jurisdiction in which the role is based or operates. These may include, but are not limited to, criminal record checks or financial background checks where applicable.

AI Use In Interviews

To ensure a fair and consistent assessment for all candidates, we ask that you do not use AI tools, external assistance or prepared real time prompts during ta screening call or interview unless we have specifically advised that these are permitted.

The interview is designed to assess your own experience, thought process and communication skills. If AI use is permitted as part of an exercise, we will clearly explain this beforehand.