Compliance Services Consultant – Remote Central Eastern USA – Investment Compliance

Company: Confluence Technologies

Position: Compliance Services Consultant

Industry: Investment Management | Financial Services | Regulatory Compliance

Location: Remote - United States (Central or Eastern Time Zones Preferred)

Employment Type: Full Time

Contact Us:
Email: recruitment@confluence.com

Key Responsibilities:

• Act as outsourced Chief Compliance Officer (CCO) for private fund and wealth management clients
• Advise on Investment Advisers Act, Investment Company Act, and Securities Exchange Act compliance
• Lead annual compliance reviews, risk assessments, and regulatory filings
• Manage and support clients during SEC examinations and regulatory inquiries
• Build strong advisory relationships with C-suite and senior leadership

Skills & Qualifications:

• 7+ years in regulated investment industry (compliance, consulting, or regulatory)
• Direct CCO experience (in-house or outsourced) with accountability
• Strong knowledge of Investment Advisers Act of 1940 (essential)
• Experience with private equity, hedge funds, private credit, or retail wealth managers
• Proven ability to mentor junior professionals

Preferred Credentials:

• Law degree or postgraduate compliance/legal education
• Certifications such as IACCP, CAMS/ACAMS, CRCP, or CFE
• FINRA licenses (e.g., Series 24)
• Experience with IARD, CRD, PFRD, EDGAR, and compliance software
• Exposure to CFTC/NFA regulations

Additional Information:

• Moderate travel up to approximately 40%
• Flexible working arrangements
• Global career development opportunities
• Referral bonus up to $3,000
• Pre-employment background screening required

How to Apply

Apply through the official Confluence careers page