Salary Range
US70,000 - 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 listsPreparing and submitting regulatory filings, including Form ADV and Form 13 filingsManaging client registrations with relevant regulators, including the SEC and CFTCSupporting clients through regulatory examinations conducted by bodies such as the SEC, NFA, and state regulatorsInvestigating, documenting, and helping to resolve compliance-related issues in line with client policies and proceduresMonitoring regulatory developments and assessing how changes may affect clientsReviewing marketing and advertising materials to ensure they align with the Advisers Act and other applicable regulatory requirementsParticipating in, and where appropriate presenting, annual compliance training for clients and their employeesReviewing documents and data to support thoughtful analysis, sound judgement, and well-informed decisionsProducing accurate, high-quality work across multiple client assignmentsCommunicating professionally and confidently with regulators, clients, industry contacts, and internal teams, including the Ocorian CFO teamHandling sensitive information with tact, discretion, confidentiality, and good judgement#LI-JM1#LI-Hybrid
