Job DescriptionSalary RangeUS$ 90,000 - 120,000
Please note we are open to the following locations: New York, Los Angeles, Charlotte and Chicago.
Purpose of the RoleWe are looking for a motivated and detail-oriented
Compliance Associate or
Consultant to join our team and support a varied portfolio of clients across the investment management sector.
This is a great opportunity for someone with early to mid-level compliance experience who enjoys working in a client-facing environment, solving problems, and staying close to regulatory developments. You will play an important role in helping clients meet their regulatory obligations while developing your own technical knowledge and professional confidence.
Main ResponsibilitiesIn this role, you will support clients with a broad range of compliance matters, including:
- Advising clients on day-to-day compliance topics such as personal trading, email reviews, firm trading activity monitoring, and restricted lists
- Preparing and submitting regulatory filings, including Form ADV and Form 13 filings
- Managing client registrations with relevant regulators, including the SEC and CFTC
- Supporting clients through regulatory examinations conducted by bodies such as the SEC, NFA, and state regulators
- Investigating, documenting, and helping to resolve compliance-related issues in line with client policies and procedures
- Monitoring regulatory developments and assessing how changes may affect clients
- Reviewing marketing and advertising materials to ensure they align with the Advisers Act and other applicable regulatory requirements
- Participating in, and where appropriate presenting, annual compliance training for clients and their employees
- Reviewing documents and data to support thoughtful analysis, sound judgement, and well-informed decisions
- Producing accurate, high-quality work across multiple client assignments
- Communicating professionally and confidently with regulators, clients, industry contacts, and internal teams, including the Ocorian CFO team
- Handling sensitive information with tact, discretion, confidentiality, and good judgement
#LI-JM1
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Qualifications- Bachelor's degree or equivalent qualification.
- 1 to 3 years of relevant compliance experience, ideally gained within a registered investment adviser, law firm, bank, alternative investment firm, or similar environment.
- Knowledge of CFTC, NFA, client requirements, and SEC examination practices would be highly regarded.
Knowledge, Skills and Experience- Strong Microsoft Office skills, including Teams, Excel, Word, Outlook, and PowerPoint.
- Experience using MyComplianceOffice and Global Relay would be an advantage.
- Highly organised, proactive, and able to work independently.
- Comfortable balancing multiple workloads in a fast-paced environment.
- Detail-oriented, with a strong focus on quality and accuracy.
- Resourceful problem-solver with strong follow-up skills.
- Able to manage tasks through to completion within agreed timelines.
- Confident building relationships with clients, colleagues, and external contacts.
- Collaborative team player who enjoys working in a dynamic and entrepreneurial culture.
- Professional, trustworthy, and committed to acting with integrity.
Additional InformationAll staff are expected to embody our core values that underpin everything that we do and that reflect the skills and behaviours we all need to be successful. These are:
- We areCLIENT CENTRIC - Clients are at the centre of our world, and we're committed to providing expertise and specialist solutions to meet their most complex challenges.
- We are AMBITIOUS - We aim high. We think and act globally, seizing every opportunity to delight our clients and support our colleagues - wherever in the world they may be.
- We are AGILE - We act on our initiative to get things done for our clients. Our independence gives us the flexibility and freedom to keep things simple, efficient and effective.
- We are COLLABORATIVE - With a curious mindset, we ask the right questions to get to the right solution, for our clients faster. We collaborate to win together and share our successes.
- We are ETHICAL - We behave with integrity at all times and assume positive intent, building trust through responsible actions and honest relationships.
Videos To Watchhttps://www.youtube.com/watch?v=vtlyI-GTq9A
