Compliance Services Consultant

Confluence

Senior Compliance Services Consultant providing regulatory compliance for private equity and wealth management clients. Leading compliance initiatives and building trusted relationships with senior stakeholders.

Posted 4/13/2026full-timeRemote • California, New York • 🇺🇸 United StatesSeniorLeadWebsite

About the role

Key responsibilities & impact

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

What you’ll need

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

Comp & perks

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!

ATS Keywords

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Applicant Tracking System Keywords

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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