Senior Consultant | Regulatory and Compliance

Ocorian • Charlotte, NC

1h • $100,000 - $140,000 • Hybrid

About The Position

The Senior Consultant, Regulatory and Compliance, acts as a trusted advisor to a diverse portfolio of investment advisory clients, helping them navigate regulatory requirements and build long-term relationships. The role covers regulatory filings, compliance monitoring, regulatory examinations, and strategic compliance advice. The consultant helps clients maintain robust compliance frameworks, manage regulatory risk, and meet obligations under SEC and other applicable regulatory regimes. The position also includes managing client relationships and supporting junior team members through coaching, mentoring, and technical guidance. The role may be based in New York, Los Angeles, Charlotte, or Chicago.

Requirements

• Bachelor's degree or equivalent qualification.
• 3–5 years' experience in regulatory compliance within a registered investment adviser, compliance consulting firm, law firm, bank, asset manager, or alternative investment manager.
• Strong understanding of the Investment Advisers Act of 1940 and SEC regulatory requirements applicable to registered investment advisers.
• Experience managing regulatory filings, including Form ADV and other SEC reporting obligations.
• Proven experience conducting compliance monitoring, testing, annual compliance reviews, and regulatory risk assessments.
• Ability to independently manage multiple client relationships and compliance workstreams while exercising sound judgment on escalation matters.
• Experience supporting regulatory examinations and interacting professionally with regulators and external stakeholders.
• Previous experience reviewing, coaching, or mentoring junior compliance professionals.
• Proficiency in Microsoft Office applications, including Excel, Word, Outlook, Teams, and PowerPoint.

Nice To Haves

• Regulatory compliance qualification or related professional certification.
• Experience with compliance systems such as MyComplianceOffice (MCO) and Global Relay.

Responsibilities

• Serve as the primary day-to-day compliance contact for a portfolio of investment management clients, providing practical regulatory advice and support.
• Lead regulatory filing activities, including Form ADV, Form 13, and other required submissions, ensuring accuracy and timely completion.
• Support clients through regulatory examinations, compliance reviews, testing programmes, and ongoing monitoring activities.
• Review marketing materials, trading activity, personal trading programmes, and other compliance controls to identify and mitigate regulatory risks.
• Mentor and support junior Compliance Associates by providing training, feedback, and technical guidance.

What This Job Offers

• Job Type: Full-time
• Career Level: Senior