Compliance Consultant
Ocorian•Los Angeles, CA
•$90,000 - $120,000•Hybrid
About The Position
Ocorian is hiring a Compliance Consultant to provide day-to-day compliance support to investment management clients and help them navigate regulatory requirements. The role is suited to someone with early- to mid-level compliance experience who enjoys client-facing work, interpreting regulations, and delivering practical solutions. The consultant will work across multiple client engagements, collaborate with experienced compliance professionals, and support clients in meeting their regulatory obligations.
Requirements
- Bachelor's degree or equivalent qualification.
- 1 to 3 years of relevant compliance experience, ideally within a registered investment adviser, law firm, bank, alternative investment firm, or similar environment.
- Strong attention to detail and focus on quality and accuracy.
- Resourceful problem-solving and strong follow-up skills.
- Confidence building relationships with clients, colleagues, and external contacts.
Nice To Haves
- Knowledge of CFTC, NFA, client requirements, and SEC examination practices.
- Experience using MyComplianceOffice and Global Relay.
Responsibilities
- Support investment management clients with 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, accurately and on time.
- Manage regulatory registrations and ongoing obligations with bodies such as the SEC and CFTC.
- Assist clients with regulatory examinations and enquiries conducted by the SEC, NFA, and state regulators.
- Review marketing and advertising materials for compliance with applicable requirements, including the Advisers Act.
- Monitor regulatory developments, assess their impact on clients, and provide practical compliance guidance.
- Investigate and resolve compliance-related issues while maintaining accurate documentation and clear audit trails.
- Support compliance training and awareness initiatives for clients and their employees.
- Build professional relationships with clients, regulators, industry contacts, and internal stakeholders.
- Deliver high-quality work across multiple client engagements and handle sensitive information with professionalism, discretion, and sound judgment.
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What This Job Offers
Job Type
Full-time
Career Level
Entry Level
