Director of Compliance Managers

Department: Compliance Services

Employment Type: Permanent - Full Time

Location: United States

Reporting To: Thomas Pfister

Compensation: $190,000 - $225,000 / year

Description

Why Confluence? 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.

More about the role & team

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. Compliance Services also offers outsourced compliance services such as drafting policies, preparing and making regulatory filings, OCCO roles, code of ethics monitoring and electronic communication reviews. Compliance managers serve a key role in supporting client engagements, in particular, outsourced compliance services. The Director Compliance Managers is responsible for the people side of the business unit:

What skills and experience do I need to succeed?

• 10+ years’ working as in-house compliance officer, compliance consultant with an investment adviser, broker-dealer, or other registrant, or with a regulator (SEC, FINRA)
• 7+ years’ experience directly leading a diverse team of compliance professionals, or other group with varying levels of experience, in a regulated financial services setting
•  Background in compliance within financial services
• Excellent knowledge of SEC rules
•  Experience with Investment Adviser regulations
• Knowledge of FINRA and rules

Certifications or Designations:

• CRCP: Certified Regulatory and Compliance Professional
• IACCP: Investment Adviser Certified Compliance Professional
• You may have worked as a 'Chief Compliance Officer' or 'Chief Operations Officer - Compliance' or 'Compliance Director'.

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!
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More about the Location
We offer flexible working options for all employees.
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#LI-Remote
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Values
We look for people who align with our 4 values.
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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

Salary Range: $190,000 to $225,000 annually + any other benefits such as bonus.
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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.

If you would like to find out more about a Career at Confluence, please apply today.