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Confluence Technologies logo
Confluence Technologies

Confluence Technologies describes itself as a global technology solutions provider helping the investment management industry solve complex challenges around in

Compliance Services Consultant

Location

California + 1 moreAll locations: California | New York

Posted

122 days ago

Salary

0

Seniority

Lead

Bachelor Degree7 yrs expEnglish

Job Description

Compliance Services Consultant

Confluence Technologies

• 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

Job 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!

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