About this role
Location - US Remote (Central & Eastern Time Zones Preferred) Why Confluence? At Confluence, we’ve 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. 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.