Compliance Manager

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.

• Broker-dealer compliance experience.
• Experience supporting private fund advisers or registered investment companies.
• Compliance consulting experience.
• Experience gained within an investment adviser, wealth manager, broker-dealer or custodian adviser.
• Familiarity with ACM, Hadrius, Greenboard or similar compliance monitoring systems.
• Experience with electronic communication retention and monitoring solutions.
• Industry certifications such as IACCP, CRCP, ACAMS, Series 7, Series 24 or Series 65.
• 3+ years of compliance experience within the investment management industry.
• Experience preparing regulatory filings through IARD, EDGAR, FINRA Gateway and/or CRD.
• Hands-on experience with Form ADV, Form 13F, Form U4 and Form U5 filings.
• Investment adviser compliance experience.
• Experience with Code of Ethics administration, electronic communications surveillance and/or compliance monitoring.
• Strong Excel, data management and analytical skills.
• Excellent written and verbal communication skills.
• Strong attention to detail and organisational skills.
• Ability to manage multiple priorities and client deliverables.
• Proactive, self-sufficient approach to work.
• Bachelor's degree or equivalent experience.