Senior Compliance Consultant

Remote US East Coast, PA
Full Time
Compliance Services

Senior Compliance Consultant

Remote US or Canada – East Coast.


Why Confluence?

Over the past several years we have undergone a great deal of positive change and growth to become the company we are today. Our global footprint now spans multiple countries, giving our employees the opportunity to get exposure to other countries and cultures. And it stands to reason that none of this would have been possible without the hundreds of hard-working employees who work at Confluence.


What do we do?

As a leading global technology solutions provider to the investment management industry, Confluence helps clients solve complex investment data challenges across the front, middle and back office. Headquartered in Pittsburgh, PA, Confluence services over 1000 clients in 40 countries, with locations across Europe, North America, South Africa, Australia and Asia.


Department Overview

The Compliance Services group provides a full range of solutions to investment advisers and broker-dealers in managing their compliance programs. Compliance Services conducts mock exams, risk assessments and compliance reviews for its clients, who are registered in the United States. In addition, Compliance Services also offers outsourced compliance services such as drafting policies, preparing and making regulatory filings, code of ethics monitoring and electronic communication reviews.


More about the role & team

Working under general direction, lead and participate in client consulting engagements, generally consisting of compliance reviews, mock exams, risk assessments, registrations and filings. While primarily assigned to a practice area (e.g. Retail, Institutional/RIC, Private Funds), client engagements will include exposure across client base. 


You will form part of a team who are based remotely across the east coast of the US.


What skills and experience do I need to succeed?


You will have 7+ years’ experience in investment management industry, with particular emphasis in compliance, either as a practitioner, consultant or regulator; preference will be given to candidates with experience working for a US regulator and/or exposure to private fund advisers or registered investment companies

You will also hold good working knowledge of the relevant securities laws and rules, including the Investment Advisers Act of 1940, Investment Company Act of 1940 and the Securities Exchange Act of 1934

You may have worked as a ‘Senior Compliance Consultant’, ‘Compliance Practitioner’, ‘Compliance Manager’, ‘Compliance Officer’, 'Chief Compliance Officer' or ‘Regulator’ to name a few.


What do we offer?

Confluence offers generous benefit packages for team members. As a growing, global organization, we are always looking for ways to ensure that our employees can access benefits that matter to them and their families. This includes:

  • Generous time off packages including additional half days with each public holiday in your location.
  • Global Career Development opportunities
  • Social Events
  • Referral Bonus scheme- $3,000 per successful referral
  • Plus many more!


More about the Location

We offer flexible working options for all employees.





We look for people who align with our 4 values.



Face reality with honesty, courage and accountability


Deal creatively with challenges and envision what the world could be


Build good habits into reflexes which become a part of our life


Committed to the success of others


Salary Range: $180,000 - 210,000 annually + any other benefits such as bonus.

The above represents the expected salary range for this job requisition. Ultimately, in determining your pay, we'll consider your location, experience, and other job-related factors such as local market conditions and internal equity.


If you would like to find out more about a Career at Confluence, please apply today.


We are committed to providing equal opportunities regardless of age, gender, religion or ethnic origin and we give full and fair consideration to the employment and career development of disabled persons, commensurate with their aptitudes and abilities.

To understand how and why we hold your data please view the relevant Privacy Statement:

Confluence Privacy Statement

Confluence Privacy Statement - South Africa


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