Regulatory Compliance Associate – Ethics & Reporting

Octagon Credit Investors; New York (NY); On-site; USD 90,000 - 130,000; Full time

Benefits offered by this job

Medical, dental, vision insurance

401(k) matching program

Life insurance

Disability insurance

Employee Assistance Program (EAP)

Professional designation and licensure

Family support and leaves of absence

Job summary

Octagon Credit Investors is seeking an experienced compliance professional to administer the firm’s Code of Ethics and support regulatory reporting, testing, and daily compliance monitoring. This role offers growth opportunities in strengthening Octagon’s compliance program.

The Associate will work on testing, AML reviews, regulatory filings, and inquiries while collaborating across teams to ensure adherence to securities laws and firm policies.

Qualifications

• 2+ years of Investment Adviser Compliance experience.
• J.D. is welcome.
• FINRA Series 7, 63, and 24 (optional) is beneficial.
• Knowledge of SEC RIA Code of Ethics, CLOs, private funds, and regulatory reporting (Form ADV, Form PF, etc.).
• Strong MS Office skills; excellent written and oral communication; attention to detail.

Responsibilities

• Administer Code of Ethics program (personal trading, outside business activities, gifts).
• Deliver Code of Ethics training and onboarding/offboarding on compliance platforms.
• Conduct testing and assessment of the Compliance Program under 206(4)-7.
• Review and monitor AML requirements.
• Assist in regulatory filings and respond to inquiries and audits.
• Prepare materials for regulatory examinations and inquiries.
• Provide guidance on compliance policies and process improvements.
• Participate in internal Committees and create meeting materials.
• Review client/fund reporting and marketing materials.
• Assist with portfolio management process compliance (trade monitoring, testing, error correction).
• Research regulatory rules and assist with policy updates.

Skills

Compliance analysis

Regulatory reporting

Code of Ethics

Training delivery

MS Office

Communication

Attention to detail

Education

J.D. welcome

FINRA Series 7/63/24 (optional)

Tools

MS Office

Job description

Octagon Credit Investors is seeking an experienced compliance professional to administer the firm’s Code of Ethics and support regulatory reporting, testing, and daily compliance monitoring. This role offers growth opportunities in strengthening Octagon’s compliance program.

The Associate will work on testing, AML reviews, regulatory filings, and inquiries while collaborating across teams to ensure adherence to securities laws and firm policies.