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Compliance Services Consultant jobs in United States
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Confluence · 15 hours ago

Compliance Services Consultant

positionUnited States
timeFull-time
remoteRemote
senioritySenior Level
date7+ years exp
Confluence is a global organization committed to innovation and precision in the investment data space. They are seeking a Compliance Services Consultant to act as the primary compliance authority for a select group of clients, providing guidance on U.S. securities laws and managing regulatory inquiries.
Cloud ComputingEnterprise SoftwareFinanceConsultingSoftwareVenture CapitalInformation TechnologyAngel InvestmentData Center Automation

Responsibilities

Act as an 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

Qualification

CCO experienceInvestment Advisers ActSecurities Exchange ActInvestment Company Act7+ years in complianceAdvising C-suitePrivate equity experienceCompliance softwareLaw degreeProfessional certificationsFINRA licensesMentoring junior professionals

Required

Prior in‑house or outsourced CCO experience, with direct accountability
Strong working knowledge of: Investment Advisers Act of 1940, 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

Preferred

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!

Company

Confluence

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Confluence is a global technology solutions provider helping the investment management industry solve complex investment data challenges.
dateFounded in 1991
location
Pittsburgh, Pennsylvania, USA
people-size501-1000 employees
web-link
http://www.confluence.com

Funding

Current Stage
Late Stage
Total Funding
$60M
Key Investors
Polaris Partners
2021-06-17Acquired
2006-08-24Private Equity· $60M

Leadership Team

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Spiros Giannaros
Chief Executive Officer
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Abdul Khan
Analytics Account Executive - Global Strategic Account Management Sales
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Recent News

Institutional Asset Manager
Canoe Intelligence and Confluence announce partnership
2026-02-07
Business Wire
Canoe Intelligence and Confluence Technologies Partner to Streamline Institutional Portfolio Analytics and Reporting
2026-02-03
Business Wire
Confluence Technologies Appoints Kevin Rozanski Chief Financial Officer
2026-01-14
Company data provided by crunchbase