Compliance Services Consultant
Permanent - Full TimeJob Overview
Remote- Central or Eastern U.S. time zones
Why Confluence?
At Confluence, we’ve always been driven by a commitment to innovation, precision, and partnership in the investment data space. Our global footprint now spans multiple countries, giving our employees the opportunity to get exposure to other countries and cultures. And it stands to reason that none of this would have been possible without the hundreds of hard-working employees who work at Confluence.
Key Responsibilities
🚀 About the Role
As a Compliance Services Consultant, you’ll take on a senior, client‑facing role, acting as the primary compliance authority for a select group of clients. You’ll provide hands‑on guidance across core U.S. securities laws and play a critical role during high‑stakes regulatory events, including SEC examinations.
This is a fully remote, highly autonomous role designed for professionals who value ownership, influence, and long‑term client relationships.
What You’ll Do
- 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, Knowledge & Expertise
What We’re Looking For
Must‑Have Experience
- 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
Nice‑to‑Have (But Not Required)
- 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
Travel
- Moderate travel, typically up to approximately 40%