Compliance Services Consultant

Confluence

. Own senior-level client relationships .

Posted 10/16/2026full-timeRemote • United StatesSeniorLeadWebsite

Core Competencies

Role fit

Core Competencies

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Demonstrates extensive knowledge of securities laws and regulations, particularly the Investment Advisers Act, Investment Company Act, and Securities Exchange Act. Proven ability to manage client relationships and provide compliance solutions in the regulated investment industry.

Highest-signal resume keywords

Investment Advisers Act ComplianceSecurities Exchange Act CompliancePrivate Fund Structures ExpertiseRegulatory Filing Platforms ProficiencyChief Compliance Officer Experience

ATS Keywords

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Applicant Tracking System Keywords

Tip: use these terms in your resume and cover letter to boost ATS matches.

Hard Skills

Regulatory ComplianceRisk AssessmentClient Relationship ManagementRegulatory InterpretationMulti-Jurisdictional Regulation Knowledge

Soft Skills

Strong Written CommunicationStrong Verbal CommunicationProfessional Client Interaction

Tools & Technologies

IARDCRDPFRDEDGARMicrosoft Product Suite

Certifications & Qualifications

IACCPCAMSCRCPCFE

Industry Keywords

Regulated Investment IndustryPrivate EquityPrivate CreditReal EstateHedge Fund Managers

About the role

Key responsibilities & impact

Own senior-level client relationships
Work on complex and varied regulatory matters
Provide hands-on guidance to assigned clients during routine compliance matters and heightened regulatory events
Advise clients on compliance with the Investment Advisers Act, Securities Exchange Act, Investment Company Act, and other applicable regulations
Manage a focused portfolio of consulting clients
Serve in a limited number of outsourced Chief Compliance Officer positions
Manage and prioritize a dynamic book of consulting clients
Execute annual reviews and risk assessments
Lead assigned client relationships
Assist and oversee junior team members performing personal trade review, email review, firm trade monitoring, and restricted-list activities
Participate as lead or team member on mock exams, risk assessments, registrations, and filings
Collaborate with senior compliance professionals and provide practical solutions to clients
Work primarily with Private Funds while supporting Retail, Institutional/RIC, and Private Fund clients
Report to the Executive Director – Compliance Services

Requirements

What you’ll need

Strong working knowledge of relevant securities laws and regulations, including the Investment Advisers Act of 1940, Investment Company Act of 1940, and 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 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
Bachelor’s degree or equivalent combination of experience and industry certification
7+ years’ experience in the regulated investment industry, with particular emphasis in compliance
3+ years’ experience as in-house Chief Compliance Officer
Law degree or equivalent, a plus
Professional designation or industry licenses (IACCP, CAMS, CRCP, CFE), a plus

Benefits

Comp & perks

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
Flexible working options for all employees