Confluence
Helping the investment management industry solve complex data challenges
Compliance Services Consultant
Location
United States
Posted
34 days ago
Salary
Not specified
Bachelor Degree7 yrs expEnglish
Job Description
• 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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