Confluence

Compliance Services Consultant

Confluence

full-time

Posted on:

Location Type: Remote

Location: California • New York • United States

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Job Level

SeniorLead

About the role

  • Act as the 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

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‑Have (But Not Required)
  • - 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
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!
Applicant Tracking System Keywords

Tip: use these terms in your resume and cover letter to boost ATS matches.

Hard Skills & Tools
Investment Advisers Act of 1940Securities Exchange Act of 1934Investment Company Act of 1940compliancerisk assessmentsregulatory filingsprivate equityprivate credithedge fundsretail wealth management
Soft Skills
advising C-suitebuilding relationshipsmentoringleadership
Certifications
IACCPCAMSACAMSCRCPCFEFINRA Series 24