Compliance Associate

Fund services | Corporate | Capital markets | Private client | Regulatory & Compliance 

We help clients succeed by unlocking new value through expertise, trust and scale. We deliver solutions that solve complex challenges faced by asset managers, financial institutions, corporates, high net-worth individuals and family offices. 

With a curious mindset, we ask the right questions to get to the right solution, faster. We collaborate to win together, sharing successes and shaping the future of our global business. Our culture of support and recognition provides the tools and opportunities for you to grow, while unlocking the most value for our clients and making your mark with Ocorian. 

Expertise: We deliver specialist, tech-enabled solutions for our clients grounded on deep industry expertise. 

Trust: We’re a trusted partner to over 8,000 clients globally. We are proud to have long-lasting partnerships with our clients. 

Scale: With more than 1,500 colleagues, we operate across 20+ countries, our scale enables us to support our clients globally and locally, providing a seamless client experience across borders and service lines. 

Salary Range
US$ 70,000 - 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

#LI-JM1

#LI-Hybrid

Knowledge, Skills and Experience 

We are seeking someone who is organised, curious, and comfortable working across multiple priorities. You will be someone who takes pride in accuracy, enjoys building trusted relationships, and is keen to grow your compliance career in a collaborative environment.

Qualifications

• A Bachelor’s degree
• 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
• Strong Microsoft Office skills, including Teams, Excel, Word, Outlook, and PowerPoint
• Excellent written and verbal communication skills
• Experience using MyComplianceOffice and Global Relay would be an advantage

Competencies

• Highly organised, proactive, and able to work independently
• Comfortable balancing multiple client workloads in a fast-paced environment
• Detail-oriented, with a strong focus on quality and accuracy
• A 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
• A collaborative team player who enjoys working in a dynamic and entrepreneurial culture
• Professional, trustworthy, and committed to acting with integrity

All 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 are CLIENT 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.

Equal Opportunities for Everyone

Please let us know if there’s anything we can do to make the process easier for you. You can reach us at [email protected].

We’re an equal opportunity employer. All applicants will be considered for employment without attention to age, ethnicity, religion, sex, sexual orientation, gender identity, family or parental status, national origin, or veteran, neurodiversity or disability status.