Compliance Services Consultant

Confluence Technologies • ,

3d • Remote

About The Position

The Compliance Services Consultant manages a focused portfolio of consulting clients and serves in a limited number of outsourced Chief Compliance Officer positions for investment company, private fund, and wealth management clients. Primarily aligned with the Private Funds practice area, the role also offers exposure to Retail, Institutional/RIC, and Private Fund clients across Confluence’s Compliance Services business.

Working under the general direction of the Executive Director – Compliance Services, the Consultant provides hands-on guidance on routine compliance matters and heightened regulatory events, including regulatory examinations and remediation. With strategic input from senior team members, the Consultant manages and prioritizes client engagements, owns senior-level client relationships, and translates regulatory requirements into practical compliance steps. The role includes executing annual reviews and risk assessments, leading client relationships for the assigned team, and assisting and overseeing junior team members performing compliance functions. The Consultant may also lead or participate in mock exams, risk assessments, registrations, and filings.

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 regulations, such as major shareholding rules, position limits, and AIFMD.
• Specialized hands-on experience with a variety of private fund structures, including private equity, private credit, real estate, and hedge fund managers.
• Strong written and verbal communication skills and the ability to interact professionally with clients, including C-suite executives, and regulators.
• Proficiency with regulatory filing platforms including IARD, CRD, PFRD, and EDGAR.
• Proficiency in the Microsoft product suite.
• Proficiency in using artificial intelligence to improve efficiency.
• Demonstrated ability to interpret regulatory requirements and provide practical compliance solutions to covered clients.
• Bachelor’s degree or equivalent combination of experience and industry certification.
• At least 7 years of experience in the regulated investment industry, particularly in compliance as a practitioner, consultant, or regulator.
• At least 3 years of experience as an in-house Chief Compliance Officer.

Nice To Haves

• Recent experience working for a U.S. regulator is preferred.
• A law degree or equivalent is a plus.
• Professional designation or industry licenses such as IACCP, CAMS, CRCP, or CFE are a plus.

Responsibilities

• Manage and appropriately prioritize a focused, dynamic portfolio of consulting clients.
• Serve in a limited number of outsourced Chief Compliance Officer positions for investment company, private fund, and wealth management clients.
• Provide assigned clients with hands-on guidance on routine compliance matters and heightened regulatory events, including regulatory examinations and remediation.
• Execute annual reviews and risk assessments.
• Lead client relationships for the assigned team, including senior-level relationships.
• Assist and oversee junior team members performing compliance functions, including personal trade review, email review, firm trade monitoring, and restricted-list management.
• Lead or participate in mock examinations, risk assessments, registrations, and filings.
• Translate regulatory requirements into practical compliance solutions for clients.

Benefits

• Generous time-off packages, including additional half days with each public holiday in the employee’s location.
• Global career development opportunities.
• Social events.
• Referral bonus of up to $3,000 per successful referral.
• Additional benefits are mentioned but not specified.

What This Job Offers

• Job Type: Full-time
• Career Level: Senior