Posted 1 day ago
Compliance Manager
United StatesRemote
AI Summary
A Compliance Manager delivers compliance services and regulatory filings to investment adviser, broker-dealer, and private fund clients, supporting filings, surveillance, testing, and client guidance.
About this role
Location - US Remote (Central & Eastern Time Zones Preferred)
Why Confluence?
At Confluence, we鈥檝e always been driven by a commitment to innovation, precision, and partnership in the investment data space. 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.
Key Responsibilities
We're looking for a Compliance Manager to join our specialist Compliance Services team. This is an opportunity to work across a diverse portfolio of investment adviser, broker-dealer and private fund clients, supporting critical compliance activities and helping organisations navigate complex regulatory requirements.
You'll become part of a close-knit, highly collaborative team while benefiting from the resources, stability and opportunities that come with being part of a larger global organisation.
What You'll Be Doing
As a Compliance Manager, you will play a key role in delivering compliance services to clients across the investment management industry. Your responsibilities will include:
- Preparing and supporting regulatory filings, including Form ADV, Form 13F, Form U4 and Form U5 filings.
- Conducting electronic communications reviews and surveillance activities.
- Supporting compliance testing and compliance programme reviews.
- Administering and testing Code of Ethics programmes.
- Managing recurring regulatory deadlines and client deliverables.
- Utilising compliance technology solutions to support monitoring and programme administration.
- Working directly with clients to deliver high-quality compliance support and guidance.
- Managing multiple client engagements simultaneously while maintaining exceptional standards of accuracy and service.
Skills, Knowledge & Expertise
Essential Requirements
- 3+ years of compliance experience within the investment management industry.
- Experience preparing regulatory filings through IARD, EDGAR, FINRA Gateway and/or CRD.
- Hands-on experience with Form ADV, Form 13F, Form U4 and Form U5 filings.
- Investment adviser compliance experience.
- Experience with Code of Ethics administration, electronic communications surveillance and/or compliance monitoring.
- Strong Excel, data management and analytical skills.
- Excellent written and verbal communication skills.
- Strong attention to detail and organisational skills.
- Ability to manage multiple priorities and client deliverables.
- Proactive, self-sufficient approach to work.
- Bachelor's degree or equivalent experience.
Desirable Requirements
- Broker-dealer compliance experience.
- Experience supporting private fund advisers or registered investment companies.
- Compliance consulting experience.
- Experience gained within an investment adviser, wealth manager, broker-dealer or custodian adviser.
- Familiarity with ACM, Hadrius, Greenboard or similar compliance monitoring systems.
- Experience with electronic communication retention and monitoring solutions.
- Industry certifications such as IACCP, CRCP, ACAMS, Series 7, Series 24 or Series 65.
Why Join Us?
This role offers a unique opportunity to broaden your compliance expertise while working across a variety of client engagements.
Benefits of the role include:
- Fully remote working environment.
- Exposure to investment advisers, broker-dealers, private funds and registered funds.
- A varied workload spanning regulatory filings, compliance testing, surveillance and risk assessments.
- Opportunity to develop expertise using compliance technology solutions.
- Significant client exposure and visibility.
- Small team culture with the support and resources of a larger organisation.
Benefits
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:
馃暁 Generous Time Off packages including additional half days with each public holiday in your location.
馃寧 Global Career Development opportunities
馃帄 Social Events
馃挼 Referral Bonus scheme - Upto $3,000 per successful referral
馃殌 Plus many more!
More about the Location
We offer flexible working options for all employees.
Fully remote US-based role.
Preference for candidates located within the Central or Eastern time zones.
Minimal travel requirements.
#LI-Remote
Values
We look for people who align with our 4 values.
Integrity
Face reality with honesty, courage and accountability
Imagination
Deal creatively with challenges and envision what the world could be
Discipline
Build good habits into reflexes which become a part of our life
Service
Committed to the success of others
If you would like to find out more about a Career at Confluence, please apply today.
If you believe that this job posting is noncompliant, please email us at recruitment@confluence.com.
Pre-Employment Screening Disclaimer
As part of our recruitment process, we carry out identity checks on all candidates. Offers of employment are conditional upon the completion of satisfactory background checks prior to the commencement of work. These checks may include verification of identity, right to work in the UK, employment history, and other relevant pre-employment screening.
If you believe that this job posting is noncompliant, please email us at recruitment@confluence.com.
Pre-Employment Screening Disclaimer
As part of our recruitment process, we carry out identity checks on all candidates. Offers of employment are conditional upon the completion of satisfactory background checks prior to the commencement of work. These checks may include verification of identity, right to work in the UK, employment history, and other relevant pre-employment screening.
Please note that additional checks may be required depending on the nature of the role and the jurisdiction in which the role is based or operates. These may include, but are not limited to, criminal record checks or financial background checks where applicable.
Skills
Compliance Monitoring SystemsCRDEDGARExcelFINRA GatewayForm 13FForm ADVForm U4Form U5IARD
