Compliance Manager

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.
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.

Working under general supervision, participate in client engagements, consisting of services to registered investment advisers and broker dealers. Collaborate on client deliverables with product and services teams. Support regulatory reporting requirements of RIAs and BDs including Form ADV, Form PF, U-4’s and U-5’s and perform additional compliance analysis and tasks for RIAs and BDs. In this role, the primary focus is to support engagements and provide assigned compliance review services while developing advanced expertise.

You will form part of a team who are based remotely across the east coast of the US.
We will consider candidates at varying levels of expertise.

You will have2+ 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 experience with preparing regulatory filings, code of ethics administration and/or electronic communication surveillance.

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

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

Referral Bonus scheme - Upto $3,000 per successful referral

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: $80,000 to $110,000 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.

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.