Compliance Consultant

Asset Manager Services | Issuer Services | Private Wealth & Corporate

Ocorian helps asset managers, private wealth, corporates, and issuer clients handle operational and regulatory complexity at scale, giving them the freedom to focus on what they do best.

Whether they’re raising capital, expanding into new markets, acquiring a business, preparing for an exit or protecting wealth, we’re behind every move our clients make, creating capacity and removing burden so they can focus on growth, opportunity and performance. 

With over 50 years’ of expertise, 20 locations and 2,000 expert colleagues, clients know they can rely on us when their challenges are complex, time-critical and consequential.

To find out more about Ocorian and our services, including regulatory information, visit ocorian.com 

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

This is an excellent opportunity for someone with early to mid-level compliance experience who enjoys working directly with clients, interpreting regulatory requirements, and delivering practical solutions.

You will help investment managers navigate an evolving regulatory landscape, providing day-to-day compliance support across a broad range of matters. You will gain exposure to multiple client types, work closely with experienced compliance professionals, and play a key role in helping clients meet their regulatory obligations with confidence. If you are detail-oriented, commercially minded, and motivated to build a long-term career in compliance consulting, this role offers excellent scope for growth and development.

Main Responsibilities

• Support investment management clients with a broad range of day-to-day compliance matters, including personal account dealing, restricted lists, electronic communications reviews, and trade surveillance.
• Prepare and submit regulatory filings, including Form ADV and Form 13 filings, ensuring accuracy and timely completion.
• Manage regulatory registrations and ongoing obligations with bodies such as the SEC and CFTC.
• Assist clients through regulatory examinations and enquiries conducted by the SEC, NFA, and state regulators.
• Review marketing and advertising materials to ensure compliance with applicable regulatory requirements, including the Advisers Act.
• Monitor regulatory developments, assess their impact on clients, and provide practical compliance guidance.
• Investigate and resolve compliance-related issues, maintaining accurate documentation and clear audit trails.
• Support the delivery of compliance training and awareness initiatives for clients and their employees.
• Build strong relationships with clients, regulators, industry contacts, and internal stakeholders through professional and effective communication.
• Produce high-quality work across multiple client engagements while handling sensitive information with professionalism, discretion, and sound judgement.

#LI-JM1
#LI-Hybrid

• Bachelor's degree or equivalent qualification.

Knowledge, Skills and Experience

• 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.
• Experience using MyComplianceOffice and Global Relay would be an advantage.
• Detail-oriented, with a strong focus on quality and accuracy.
• Resourceful problem-solver with strong follow-up skills.
• Confident building relationships with clients, colleagues, and external contacts.

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.