Hybrid Compliance Advisor — Investment Regulation

Ocorian; New York (NY); Hybrid; USD 90,000 - 120,000; Full time

Job summary

Ocorian in the United States is seeking an early to mid-level compliance professional who enjoys working directly with clients, interpreting regulatory requirements, and delivering practical solutions. You will help investment managers navigate an evolving regulatory landscape with day-to-day compliance support across a broad range of matters.

You will gain exposure to multiple client types, collaborate with experienced compliance professionals, and play a key role in helping clients meet

Qualifications

• 1–3 years of compliance experience in registered investment adviser or similar environment.
• Knowledge of CFTC, NFA, client requirements, and SEC examination practices.
• Detail-oriented with high focus on quality and accuracy.
• Strong client relationship skills and ability to deliver practical solutions.

Responsibilities

• Support investment management clients with day-to-day compliance matters such as personal account dealing and trade surveillance.
• Prepare and submit regulatory filings (e.g., Form ADV and Form 13) accurately and on time.
• Manage regulatory registrations and ongoing obligations with the SEC and CFTC.
• Assist clients through SEC, NFA, and state regulator examinations and inquiries.
• Review marketing materials to ensure compliance with Advisers Act and other rules.
• Monitor regulatory developments and advise on impact to clients.
• Investigate and resolve compliance issues with clear audit trails.
• Contribute to client training and awareness initiatives on regulatory topics.
• Build relationships with clients, regulators, industry contacts and internal teams.
• Produce high-quality work across engagements while handling sensitive information.

Skills

Compliance experience

CFTC/NFA familiarity

SEC examination practices

Detail-oriented

Relationship building

Client-facing

Tools

MyComplianceOffice

Global Relay

Job description

Ocorian in the United States is seeking an early to mid-level compliance professional who enjoys working directly with clients, interpreting regulatory requirements, and delivering practical solutions. You will help investment managers navigate an evolving regulatory landscape with day-to-day compliance support across a broad range of matters.

You will gain exposure to multiple client types, collaborate with experienced compliance professionals, and play a key role in helping clients meet