Compliance Services Consultant

Confluence Technologies

3d • Remote

About The Position

Remote- Central or Eastern U.S. time zones
Why Confluence?

At Confluence, we’ve always been driven by a commitment to innovation, precision, and partnership in the investment data space. Our global footprint now spans multiple countries, giving our employees the opportunity to get exposure to other countries and cultures. And it stands to reason that none of this would have been possible without the hundreds of hard-working employees who work at Confluence.

More about the role & team
As a Compliance Services Consultant, you’ll take on a senior, client‑facing role where you act 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 enjoy responsibility, influence, and meaningful client relationships.

Requirements

• Prior in‑house or outsourced CCO 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 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/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 CCO 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 exams and regulatory inquiries
• Build trusted relationships with C‑suite and senior stakeholders
• Oversee and mentor junior team members
• Contribute to the evolution 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!

What This Job Offers

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