Compliance Services Consultant
Compliance Services Consultant
Department: Compliance Services
Employment Type: Permanente - Jornada completa
Location: United States
Reporting To: Kyrstin Ritsema
Description
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
About the Role
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.
What You’ll Do
• 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
What skills and experience do I need to succeed?
What We’re Looking For
Must‑Have Experience
• 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‑Have (But Not Required)
• 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
Travel
• Moderate travel, typically up to approximately 40%
What do we offer?
Confluence offers generous benefit packages for team members. As a growing, global organization, we are always looking for ways to ensure that our employees can access benefits that matter to them and their families. This includes:
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!
More about the Location
We offer flexible working options for all employees.
#LI-Remote-Central or Eastern U.S. time zones preferred)
Values
We look for people who align with our 4 values.
Integrity
Face reality with honesty, courage and accountability
Imagination
Deal creatively with challenges and envision what the world could be
Discipline
Build good habits into reflexes which become a part of our life
Service
Committed to the success of others
If you would like to find out more about a Career at Confluence, please apply today.
If you believe that this job posting is noncompliant, please email us at [email protected].
Pre-Employment Screening Disclaimer
As part of our recruitment process, we carry out identity checks on all candidates. Offers of employment are conditional upon the completion of satisfactory background checks prior to the commencement of work. These checks may include verification of identity, right to work in the UK, employment history, and other relevant pre-employment screening.
Please note that additional checks may be required depending on the nature of the role and the jurisdiction in which the role is based or operates. These may include, but are not limited to, criminal record checks or financial background checks where applicable.
Apply tot his job
Apply To this Job
Department: Compliance Services
Employment Type: Permanente - Jornada completa
Location: United States
Reporting To: Kyrstin Ritsema
Description
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
About the Role
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.
What You’ll Do
• 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
What skills and experience do I need to succeed?
What We’re Looking For
Must‑Have Experience
• 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‑Have (But Not Required)
• 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
Travel
• Moderate travel, typically up to approximately 40%
What do we offer?
Confluence offers generous benefit packages for team members. As a growing, global organization, we are always looking for ways to ensure that our employees can access benefits that matter to them and their families. This includes:
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!
More about the Location
We offer flexible working options for all employees.
#LI-Remote-Central or Eastern U.S. time zones preferred)
Values
We look for people who align with our 4 values.
Integrity
Face reality with honesty, courage and accountability
Imagination
Deal creatively with challenges and envision what the world could be
Discipline
Build good habits into reflexes which become a part of our life
Service
Committed to the success of others
If you would like to find out more about a Career at Confluence, please apply today.
If you believe that this job posting is noncompliant, please email us at [email protected].
Pre-Employment Screening Disclaimer
As part of our recruitment process, we carry out identity checks on all candidates. Offers of employment are conditional upon the completion of satisfactory background checks prior to the commencement of work. These checks may include verification of identity, right to work in the UK, employment history, and other relevant pre-employment screening.
Please note that additional checks may be required depending on the nature of the role and the jurisdiction in which the role is based or operates. These may include, but are not limited to, criminal record checks or financial background checks where applicable.
Apply tot his job
Apply To this Job