Compliance Services Consultant

Confluence Technologies

1d • Remote

About The Position

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.

Requirements

• 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 Haves

• 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

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

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!
• Flexible working options for all employees.

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level
• Education Level: No Education Listed