Compliance Services Consultant

🕒 October 16

🇺🇸 United States – Remote

⏰ Full Time

🟠 Senior

🔴 Lead

🚔 Compliance

🦅 H1B Visa Sponsor

This company has sponsored H1B visas in the past.

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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

• 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

🎯 Requirements

• 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

🏖️ 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 • Flexible working options for all employees

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