[Remote] Compliance Services Consultant

Note: The job is a remote job and is open to candidates in USA. Confluence is a global organization committed to innovation in the investment data space. They are seeking a Compliance Services Consultant to act as the primary compliance authority for clients, providing guidance on U.S. securities laws and managing regulatory events. This role involves advising clients, leading reviews and assessments, and building relationships with senior stakeholders.

Responsibilities
• Act as an outsourced Chief Compliance Officer for private fund and retail wealth management clients
• Advise clients on compliance with the Investment Advisers Act, Investment Company Act, and Securities Exchange Act
• Lead annual reviews, risk assessments, and regulatory filings
• Support and manage clients through SEC examinations and regulatory inquiries
• Build trusted relationships with C‑suite executives and senior stakeholders
• Oversee and mentor junior team members
• Contribute to the ongoing development and growth of the compliance practice

Skills
• Prior in‑house or outsourced Chief Compliance Officer experience, with direct accountability
• Strong working knowledge of: Investment Advisers Act of 1940 (essential), Securities Exchange Act of 1934, Investment Company Act of 1940
• 7+ years of experience in the regulated investment industry (compliance, consulting, or regulatory)
• Proven ability to advise C‑suite and senior leadership
• Hands‑on experience with private equity, private credit, hedge funds, and/or retail wealth managers
• Law degree or postgraduate compliance or legal education
• Professional certifications (IACCP, CAMS/ACAMS, CRCP, CFE)
• FINRA licenses (e.g., Series 24)
• Experience with IARD, CRD, PFRD, EDGAR, and compliance software
• Exposure to CFTC/NFA regulations
• Experience mentoring or leading junior professionals

Benefits
• 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!

Company Overview
• Confluence is a global technology solutions provider helping the investment management industry solve complex investment data challenges. It was founded in 1991, and is headquartered in Pittsburgh, Pennsylvania, USA, with a workforce of 501-1000 employees. Its website is http://www.confluence.com.

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