Compliance Manager

Department: Compliance Services

Employment Type: Permanent - Full Time

Location: United States

Reporting To: Erick Aguayo

Description

Location - US Remote (Central & Eastern Time Zones Preferred)

More about the role & team

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.

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.

What skills and experience do I need to succeed?

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.

• 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.

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.

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 - Upto $3,000 per successful referral

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.

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