Consultant | Regulatory & Compliance
Ocorian•Chicago, IL
•$70,000 - $120,000•Hybrid
About The Position
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.
Requirements
- 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
- Strong Microsoft Office skills, including Teams, Excel, Word, Outlook, and PowerPoint
- Excellent written and verbal communication skills
Nice To Haves
- Knowledge of CFTC, NFA, client requirements, and SEC examination practices would be highly regarded
- Experience using MyComplianceOffice and Global Relay would be an advantage
- Organised, curious, and comfortable working across multiple priorities
- Takes pride in accuracy, enjoys building trusted relationships, and is keen to grow compliance career in a collaborative environment
- 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
Responsibilities
- 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
Benefits
- Salary Range US$ 70,000 - 120,000
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What This Job Offers
Job Type
Full-time
Career Level
Mid Level
