Confluence

Location: Remote

Overview

Working under general direction of the Executive Director – Compliance Services, the Compliance Services Consultant provides hands on guidance to assigned clients on compliance with the Investment Advisers Act, Securities Exchange Act and/or Investment Company Act (as appropriate) and other applicable regulatory structures with strategic input from senior team members. This role involves providing hands-on guidance to assigned clients during routine compliance matters as well as heightened regulatory events, including SEC examinations. The ideal candidate is detail-oriented, client-focused, and comfortable translating regulatory rules into actionable steps.

The Consultant will be assigned a limited number of outsourced Chief Compliance Officer positions for existing and future private fund and retail wealth management clients. While managing and appropriately prioritizing a dynamic book of consulting clients, the Compliance Services Consultant executes annual reviews and risk assessments, leads the client relationships for the assigned team, assists and oversees junior team members in the performance of compliance functions such as personal trade review, email review and firm trade monitoring and restricted lists. In addition, the Compliance Services Consultant will participate as  a lead or as part of a team on mock exams, risk assessments, registrations and filings. While primarily assigned to the Private Funds practice area, client engagements will include exposure across Confluence’s Compliance Services’ client base including Retail, Institutional/RIC, and Private Fund firms.  

To apply: 

Job posting and application submission available through LinkedIn. 
https://www.linkedin.com/jobs/view/4371302541/

NSCP Members are also encouraged to connect with Executive Director, Kyrstin Ritsema and advise of any submitted applications.