Remote Compliance Services Consultant for Investments

Style Analytics; United States; Remote; USD 150,000 - 230,000; Full time

Benefits offered by this job

Time Off policy

Global Career Development

Referral Bonus scheme

Social Events

Job summary

Confluence seeks a Compliance Services Consultant to own senior client relationships and guide on complex regulatory matters. You will lead mock exams, risk assessments, registrations and filings for investment advisers, funds, and related structures, with strategic input from senior team members.

The role involves managing a focused portfolio of consulting clients across Retail, Institutional/RIC, and Private Fund firms, supervising juniors, and collaborating to deliver practical compliance

Qualifications

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

Responsibilities

• Own senior-level client relationships and guide on complex regulatory matters.
• Collaborate with compliance professionals to deliver practical solutions for clients.
• Lead or participate in mock exams, risk assessments, registrations and filings.
• Oversee processes such as personal trade review, email review and firm trade monitoring.
• Engage across Confluence’s client base including Retail, Institutional/RIC, and Private Fund firms.

Skills

Securities laws

Regulatory filings

Client communication

Compliance transformation

Education

Bachelor’s degree

Law degree (a plus)

Professional designation (IACCP, CAMS, CRCP, CFE)

Tools

IARD

CRD

PFRD

EDGAR

Job description

Confluence seeks a Compliance Services Consultant to own senior client relationships and guide on complex regulatory matters. You will lead mock exams, risk assessments, registrations and filings for investment advisers, funds, and related structures, with strategic input from senior team members.

The role involves managing a focused portfolio of consulting clients across Retail, Institutional/RIC, and Private Fund firms, supervising juniors, and collaborating to deliver practical compliance