Compliance Manager

🕒 July 23

🇺🇸 United States – Remote

⏰ Full Time

🟡 Mid-level

🟠 Senior

🚔 Compliance

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Confluence

WebsiteLinkedInAll Job Openings

501 - 1000 employees

Founded 1991

💸 Finance

💳 Fintech

☁️ SaaS

Finance • Fintech • SaaS

Confluence is a global leader in data-driven investment management solutions. The company partners with clients to deliver products and services designed to optimize efficiency and control in financial operations. Confluence offers sophisticated portfolio analytics solutions, multi-asset risk management, integrated data management, and regulatory compliance services. This empowers organizations to transform raw data into meaningful insights and meet complex data challenges, enhance performance, and comply with global regulatory requirements. Confluence's client base includes institutional investors, asset managers, and service providers, who rely on its solutions for performance measurement, risk analytics, comprehensive reporting, and investor communication.

📋 Description

• Preparing and supporting regulatory filings, including Form ADV, Form 13F, Form U4 and Form U5 filings. • Conducting electronic communications reviews and surveillance activities. • Supporting compliance testing and compliance programme reviews. • Administering and testing Code of Ethics programmes. • Managing recurring regulatory deadlines and client deliverables. • Utilising compliance technology solutions to support monitoring and programme administration. • Working directly with clients to deliver high-quality compliance support and guidance. • Managing multiple client engagements simultaneously while maintaining exceptional standards of accuracy and service.

🎯 Requirements

• 3+ years of compliance experience within the investment management industry. • Experience preparing regulatory filings through IARD, EDGAR, FINRA Gateway and/or CRD. • Hands-on experience with Form ADV, Form 13F, Form U4 and Form U5 filings. • Investment adviser compliance experience. • Experience with Code of Ethics administration, electronic communications surveillance and/or compliance monitoring. • Strong Excel, data management and analytical skills. • Excellent written and verbal communication skills. • Strong attention to detail and organisational skills. • Ability to manage multiple priorities and client deliverables. • Proactive, self-sufficient approach to work. • Bachelor's degree or equivalent experience. • Broker-dealer compliance experience (Desirable). • Experience supporting private fund advisers or registered investment companies (Desirable).

🏖️ 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!