Executive Director - Compliance Services

Department: Compliance Services

Employment Type: Permanent - Full Time

Location: United States

Reporting To: Thomas Pfister

Compensation: $200,000 - $250,000 / year

Description

Executive Director - Compliance Services
Remote United States 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.  

The team is domestic, based across the US, and is made up of Consultants and Compliance Managers. You will lead a Director of Compliance Services, and the Consultants.

What skills and experience do I need to succeed?

Educational Requirement:·        Four-year degree or an equivalent combination of experience; equivalent technology-related experience.
Experience Requirement:·        10+ years’ experience implementing policies, procedures and testing in a regulated financial service setting·        15+ 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·        Background in compliance within financial services·        Excellent knowledge of SEC rules·        Experience with Investment Adviser regulations·        Knowledge of FINRA and rules
Certifications or Designations preferred:·        CRCP: Certified Regulatory and Compliance Professional·        IACCP: Investment Adviser Certified Compliance ProfessionalCertified Fraud Examiner 

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 LocationWe offer flexible working options for all employees. #LI-Remote ValuesWe look for people who align with our 4 values.  IntegrityFace reality with honesty, courage and accountabilityImaginationDeal creatively with challenges and envision what the world could beDisciplineBuild good habits into reflexes which become a part of our lifeServiceCommitted to the success of others
Salary Range: $200,000 to $250,000 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.

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