Compliance Associate

Salary Range
US$ 90,000 - 120,000

Please note we are open to the following locations: New York, Los Angeles, Charlotte and Chicago.

Purpose of the Role

We are looking for a motivated and detail-oriented Compliance Associate 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 Responsibilities

In 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

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