Compliance Services Consultant

🕒 Outubro 16

🇺🇸 Estados Unidos – Remoto (EUA)

⏰ Tempo Integral

🟠 Sênior

🔴 Especialista

🚔 Conformidade

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• Aberta há 25 dias.
• As vagas desta empresa costumam ser preenchidas em 46 dias.
• Sem salário divulgado.

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Confluence

SiteLinkedInTodas as Vagas

501 - 1000 funcionários

Fundada em 1991

💸 Finanças

💳 Fintech

☁️ SaaS

Finance • Fintech • SaaS

A Confluence é líder global em soluções de gestão de investimentos orientadas por dados. A empresa faz parcerias com clientes para fornecer produtos e serviços projetados para otimizar a eficiência e o controle nas operações financeiras. A Confluence oferece soluções sofisticadas de análise de portfólio, gestão de riscos em múltiplos ativos, gestão de dados integrada e serviços de conformidade regulatória. Isso capacita as organizações a transformarem dados brutos em insights significativos, enfrentarem desafios complexos de dados, aumentarem o desempenho e cumprirem os requisitos regulatórios globais. A base de clientes da Confluence inclui investidores institucionais, gestores de ativos e prestadores de serviços, que confiam em suas soluções para medição de desempenho, análise de riscos, relatórios abrangentes e comunicação com investidores.

Descrição

• Own senior-level client relationships • Work on complex and varied regulatory matters • Provide hands-on guidance to assigned clients during routine compliance matters and heightened regulatory events • Advise clients on compliance with the Investment Advisers Act, Securities Exchange Act, Investment Company Act, and other applicable regulations • Manage a focused portfolio of consulting clients • Serve in a limited number of outsourced Chief Compliance Officer positions • Manage and prioritize a dynamic book of consulting clients • Execute annual reviews and risk assessments • Lead assigned client relationships • Assist and oversee junior team members performing personal trade review, email review, firm trade monitoring, and restricted-list activities • Participate as lead or team member on mock exams, risk assessments, registrations, and filings • Collaborate with senior compliance professionals and provide practical solutions to clients • Work primarily with Private Funds while supporting Retail, Institutional/RIC, and Private Fund clients • Report to the Executive Director – Compliance Services

🎯 Requisitos

• Strong working knowledge of relevant securities laws and regulations, including the Investment Advisers Act of 1940, Investment Company Act of 1940, and Securities Exchange Act of 1934 • Working knowledge of multi-jurisdictional and international regulation such as major shareholding, position limits, AIFMD and others • Specialized hands-on experience with private fund structures including private equity, private credit, real estate, and hedge fund managers • Strong written and verbal communication skills with ability to interact professionally with clients, including C-Suite executives, and regulators • Proficient in regulatory filing platforms including IARD, CRD, PFRD, and EDGAR • Proficient in Microsoft product suite • Proficient in using artificial intelligence to improve efficiency • Demonstrated ability to interpret regulatory requirements and provide practical compliance solutions • Bachelor’s degree or equivalent combination of experience and industry certification • 7+ years’ experience in the regulated investment industry, with particular emphasis in compliance • 3+ years’ experience as in-house Chief Compliance Officer • Law degree or equivalent, a plus • Professional designation or industry licenses (IACCP, CAMS, CRCP, CFE), a plus

🏖️ Benefícios

• 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 • Flexible working options for all employees

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