Senior Compliance Services Consultant (Remote)

Confluence Technologies LLC; United States; Remote; USD 120,000 - 180,000; Full time

Benefits offered by this job

Generous Time Off

Global Career Development

Social Events

Referral bonus up to $3,000

Remote-friendly / LI-Remote

Values-driven culture

Job summary

Confluence Technologies LLC is seeking a Compliance Services Consultant to manage senior-level client relationships and advise on complex regulatory matters from a remote US position. The role focuses on compliance with the Investment Advisers Act, Investment Company Act, and Securities Exchange Act, with collaboration across the firm's private fund, wealth management, and retail client base.

You will lead risk assessments and mock exams, supervise junior staff, and contribute to filings and

Qualifications

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

Responsibilities

• Own senior-level client relationships and guide compliance during routine matters and regulatory events
• Lead mock exams, risk assessments, registrations and filings
• Manage a focused portfolio of consulting clients and outsourced CCO engagements across private funds, wealth management, and other client types

Skills

Securities laws knowledge

Regulatory knowledge

Private Funds experience

Client communication

Regulatory filing platforms

Microsoft Office

AI in compliance

Interpreting regulations

Education

Bachelor’s degree

Law degree

Certifications (IACCP CAMS CRCP CFE)

Tools

IARD

CRD

PFRD

EDGAR

Job description

Confluence Technologies LLC is seeking a Compliance Services Consultant to manage senior-level client relationships and advise on complex regulatory matters from a remote US position. The role focuses on compliance with the Investment Advisers Act, Investment Company Act, and Securities Exchange Act, with collaboration across the firm's private fund, wealth management, and retail client base.

You will lead risk assessments and mock exams, supervise junior staff, and contribute to filings and