• Develops and implements strategies to ensure successful maintenance and implementation of compliance and risk programs • Champions cross-functional collaboration by working closely with Risk & Compliance teams, business units, legal, IT, and operational leaders • Leads the documentation of processes and controls • Oversees the review and periodic update of compliance process documentation • Serves as the principal liaison between business/process stakeholders, GRC Administration team, and technology teams • Architects and implements governance structures for the GRC application • Designs and maintains robust standards and criteria for business cases submitted to the governance committee • Develops a framework to evaluate and interpret data outputs and reporting generated from activities recorded in the GRC tool • Champions other strategic initiatives as assigned supporting Risk & Compliance Programs

Compliance Services Consultant Department: Compliance Services Employment Type: Permanent - Full Time 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. Key Responsibilities 🚀 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 Skills, Knowledge & Expertise 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% Job Benefits 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)

• Review escalated consumer complaints, ensuring timely and accurate resolution with a consumer-first approach grounded in empathy and transparency • Screen complaints for potential regulatory and legal risks and escalate as appropriate • Conduct quarterly sample testing of non-escalated consumer inquiries to verify correct categorization and handling by the Consumer Support team • Analyze complaint trends and root causes to identify systemic issues, partnering with product, engineering, operations, and legal to implement preventative solutions • Prepare and deliver regular reporting on complaint performance, insights, and key metrics to senior leadership and stakeholders • Support quarterly complaint reporting to the Board's Audit and Risk Committee (ARC) and partner banks • Build and maintain relationships with compliance counterparts at Plaid's customers • Manage bi-weekly office hours for Consumer Support to address real-time compliance questions • Run calibrations with the Consumer Support team to identify training gaps and ensure alignment with internal policies and procedures

Role Description - Support implementations of Workiva GRC across Controls, Audit, Risk, and Policies. - Assist with gathering, documenting, and organizing business and functional requirements. - Support solution configuration activities within Workiva GRC based on defined requirements and design decisions. - Prepare and maintain key project deliverables, including: - Requirements documents - Configuration trackers - Test scripts - Issue logs - Training materials - Status updates - Execute system testing, support defect triage, and validate issue resolution. - Support UAT preparation and coordination, including test case setup, results tracking, and follow-up on open items. - Assist with data preparation, data validation, migration support, and reconciliation activities. - Create training documentation, user guides, and process documentation for client teams. - Participate in client meetings, capture notes, track actions, and follow through on assigned deliverables. - Work closely with Managers and other team members to support delivery quality and timeline adherence. - Help monitor project risks, issues, and dependencies, escalating concerns when appropriate. - Support go-live readiness and post-deployment stabilization activities. - Contribute to internal templates, accelerators, and knowledge-sharing efforts. Qualifications - 2-3 years of hands-on experience implementing and configuring Workiva GRC software or platform implementations in a client-facing environment. - Exposure to the following areas: controls/compliance, internal audit, risk management, and/or policy management. - Strong documentation, testing, and analytical skills. - Experience working with spreadsheets, data validation, issue tracking, and implementation documentation. - Strong verbal and written communication skills. - Ability to work collaboratively with global teams and support client-facing delivery. - High attention to detail and strong ownership of assigned tasks. Requirements - Experience supporting system configuration, testing, or process documentation. - Familiarity with implementation lifecycle activities, including requirements, design, testing, UAT, training, and deployment. - Prior experience working in a professional services or consulting environment. - Relevant certifications or coursework in audit, risk, compliance, or information systems. Benefits - Competitive benefits are offered through our Employer of Record (EOR), DEEL. Company Description This role is full-time and will be employed through an Employer of Record (EOR). The name of the EOR is DEEL. Clearsulting will direct day-to-day responsibilities, while DEEL will serve as the legal employer and handle all administrative employment responsibilities, including payroll, statutory benefits, and compliance. The compensation range for this position is $28-39 LPA. We are committed to ensuring our offers reflect the value each candidate brings to the role. Final salary placement will be based on several factors, including level of expertise, relevant work experience, technology certifications, educational background, and alignment with industry standards. This role is eligible for our bonus program.