Compliance Consultant

Ocorian•Los Angeles, CA

1d•$90,000 - $120,000

About The Position

This is an opportunity for someone with early- to mid-level compliance experience to work directly with clients, interpret regulatory requirements, and deliver practical solutions. The Compliance Consultant provides day-to-day compliance support to investment managers across a broad range of matters, gaining exposure to multiple client types and working with experienced compliance professionals. The role contributes to helping clients meet their regulatory obligations and offers scope for career growth and development. The position is open to candidates in New York, Los Angeles, Charlotte, and Chicago. The stated salary range is US$90,000–120,000.

Requirements

Bachelor's degree or equivalent qualification.
1 to 3 years of relevant compliance experience.
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

Compliance experience 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.
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 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 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.