Remote Compliance Manager – Filings & Surveillance

Confluence Technologies; United States; On-site; USD 90,000 - 130,000; Full time

Benefits offered by this job

Fully remote

Exposure to multiple funds

Client exposure

Job summary

Confluence Technologies, Inc. is seeking a Compliance Manager to join our Compliance Services team in the United States, offering fully remote work with Central & Eastern Time preferences. You will manage regulatory filings, testing, surveillance, and ethics programs across investment adviser and broker-dealer clients.

You will collaborate with a global organization, delivering high-quality compliance support and guidance while handling multiple engagements simultaneously.

Qualifications

• 3+ years of compliance experience within the investment management industry.
• Experience preparing regulatory filings through IARD, EDGAR, FINRA Gateway and/or CRD.
• Hands-on experience with Form ADV, Form 13F, Form U4 and Form U5 filings.
• Investment adviser compliance experience.
• Experience with Code of Ethics administration, electronic communications surveillance and/or compliance monitoring.
• Strong Excel, data management and analytical skills.
• Excellent written and verbal communication skills.
• Strong attention to detail and organisational skills.
• Ability to manage multiple priorities and client deliverables.
• Proactive, self-sufficient approach to work.
• Bachelor's degree or equivalent experience.

Responsibilities

• Prepare and support regulatory filings (e.g., Form ADV, 13F, U4, U5).
• Conduct electronic communications reviews and surveillance.
• Support compliance testing and programme reviews.
• Administer and test Code of Ethics programmes.
• Manage recurring regulatory deadlines and client deliverables.
• Utilise compliance technology to support monitoring.
• Work directly with clients to provide high-quality compliance guidance.
• Manage multiple client engagements with accuracy and service.

Skills

Regulatory compliance

Regulatory filings

Excel & data analysis

Written communication

Time management

Client engagement

Education

Bachelor's degree

Tools

ACM

Hadrius

Greenboard

Job description

Confluence Technologies, Inc. is seeking a Compliance Manager to join our Compliance Services team in the United States, offering fully remote work with Central & Eastern Time preferences. You will manage regulatory filings, testing, surveillance, and ethics programs across investment adviser and broker-dealer clients.

You will collaborate with a global organization, delivering high-quality compliance support and guidance while handling multiple engagements simultaneously.