Remote Compliance Manager - Investment Management

Confluence; Pittsburgh (Allegheny County); On-site; USD 90,000 - 130,000; Full time

Benefits offered by this job

Generous Time Off

Global Career Development

Social Events

Referral Bonus up to $3,000

Plus many more!

Job summary

Confluence is seeking a Compliance Manager to join our Compliance Services team in the United States. You will support a diverse portfolio of clients across investment advisers, broker-dealers, and private funds with critical regulatory compliance activities.

You’ll work closely with a collaborative team within a global organisation, delivering high-quality compliance support while navigating complex regulatory requirements. This is a fully remote US-based role with strong client exposure.

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.

Responsibilities

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

Skills

Regulatory filings

IARD/EDGAR/FINRA/CRD

Code of Ethics administration

Compliance monitoring

Excel and data management

Attention to detail

Multitasking

Clear communication

Education

Bachelor's degree or equivalent experience

Tools

ACM

Hadrius

Greenboard

Job description

Confluence is seeking a Compliance Manager to join our Compliance Services team in the United States. You will support a diverse portfolio of clients across investment advisers, broker-dealers, and private funds with critical regulatory compliance activities.

You’ll work closely with a collaborative team within a global organisation, delivering high-quality compliance support while navigating complex regulatory requirements. This is a fully remote US-based role with strong client exposure.