Compliance Services Consultant

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.


The Compliance Services Consultant will have the opportunity to own senior-level client relationships, work on complex and varied regulatory matters, collaborate with experienced compliance professionals and share practical solutions that directly influence clients business.  This role provides hands on guidance to assigned clients during routine compliance matters as well as heightened regulatory events such as regulatory exams and remediations regarding compliance with the Investment Advisers Act, Securities Exchange Act and/or Investment Company Act (as appropriate) and other applicable regulatory structures with strategic input from senior team members. The ideal candidate is detail-oriented, client-focused, and comfortable translating regulatory rules into actionable steps. This role works under general direction of the Executive Director – Compliance Services.

The Consultant will manage a focused portfolio of consulting clients and serve in a limited number of outsourced Chief Compliance Officer positions for existing and future investment company, private fund, and wealth management clients. With strategic support from senior team members, the Consultant will manage and appropriately prioritize a dynamic book of consulting clients. The Compliance Services Consultant executes annual reviews and risk assessments, leads the client relationships for the assigned team, assists and oversees junior team members in the performance of compliance functions such as personal trade review, email review and firm trade monitoring and restricted lists. In addition, the Compliance Services Consultant will participate as lead, or as part of a team, on mock exams, risk assessments, registrations and filings. Although the role is primarily aligned to the Private Funds practice area, client engagements will include exposure across Confluence’s Compliance Services’ client base including Retail, Institutional/RIC, and Private Fund firms.  

 Strong working knowledge of the relevant securities laws and regulation, including the Investment Advisers Act of 1940, Investment Company Act of 1940, and the Securities Exchange Act of 1934
 Working knowledge of multi-jurisdictional and international regulation such as major shareholding, position limits, AIFMD and others.
 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 with ability to interact professionally with clients, including C-Suite executives, and regulators
 Proficient in regulatory filing platforms including IARD, CRD, PFRD, and EDGAR.
 Proficient in Microsoft product suite
 Proficient in using artificial intelligence to improve efficiency
 Demonstrated ability to interpret regulatory requirements and provide practical compliance solutions to covered clients.

EDUCATION
 Bachelor’s degree or equivalent combination of experience and industry certification
 Law degree or equivalent, a plus
 Professional designation or industry licenses (IACCP, CAMS, CRCP, CFE), a plus

EXPERIENCE
 7+ years’ experience in the regulated investment industry, with particular emphasis in compliance, either as a practitioner, consultant or regulator; preference will be given to candidates with recent experience working for a U.S. regulator. 
 3+ years’ experience as in-house Chief Compliance Officer