Senior Consultant | Regulatory and Compliance

Ocorian; Charlotte (NC); On-site; USD 100,000 - 140,000; Full time

Job summary

Ocorian in Charlotte is seeking a Senior Consultant in Regulatory and Compliance to serve as a trusted advisor to investment advisory clients, helping them navigate complex regulatory requirements and build lasting relationships.

You'll lead regulatory filings (e.g., Form ADV), support examinations and reviews, and mentor junior staff while delivering practical compliance guidance across multiple programs under SEC oversight.

Qualifications

• 3–5 years in regulatory compliance for investment advisers or similar.

Responsibilities

• Serve as the primary day-to-day compliance contact for investment management clients.
• Lead regulatory filing activities including Form ADV and Form 13.
• Support clients through regulatory examinations and monitoring programs.
• Review marketing materials and trading activity for regulatory risk.

Skills

Client management

Regulatory filings

Regulatory monitoring

Mentoring

MS Office

MCO experience

Education

Compliance certification

Tools

MyComplianceOffice (MCO)

Global Relay

MS Excel

Job description

Senior Consultant | Regulatory and Compliance

• Full-time
• Jurisdiction: Charlotte

Ocorian helps asset managers, private wealth, corporates, and issuer clients handle operational and regulatory complexity at scale, giving them the freedom to focus on what they do best.

Whether they’re raising capital, expanding into new markets, acquiring a business, preparing for an exit or protecting wealth, we’re behind every move our clients make, creating capacity and removing burden so they can focus on growth, opportunity and performance.

With over 50 years’ of expertise, 20 locations and 2,000 expert colleagues, clients know they can rely on us when their challenges are complex, time‑critical and consequential.

To find out more about Ocorian and our services, including regulatory information, visit ocorian.com

Salary Range: USD$100,000-$140,000 p.a.

Location can be New York, Los Angeles, Charlotte, or Chicago.

Purpose of the Job

In this role you'll act as a trusted advisor to a diverse portfolio of investment advisory clients, helping them navigate complex regulatory requirements while building strong, long‑term relationships. This is an opportunity to work across a broad range of compliance activities, from regulatory filings and compliance monitoring to regulatory examinations and strategic compliance advice.

You’ll play a key role in helping clients maintain robust compliance frameworks, manage regulatory risk and meet evolving obligations under SEC and other applicable regulatory regimes. In addition to managing your own client relationships, you’ll support the development of junior team members through coaching, mentoring and technical guidance, making a direct impact on both client success and team growth.

Main 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, providing training, feedback and technical guidance to help develop their expertise.

• Regulatory compliance qualification or related professional certification would be advantageous.

Knowledge, Skills and Experience

• 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.
• Experience with compliance systems such as MyComplianceOffice (MCO) and Global Relay would be beneficial.

All staff are expected to embody our core values that underpin everything that we do and that reflect the skills and behaviours we all need to be successful. These are:

• We areCLIENT CENTRIC– Clients are at the centre of our world, and we’re committed to providing expertise and specialist solutions to meet their most complex challenges.
• We areAMBITIOUS– We aim high. We think and act globally, seizing every opportunity to delight our clients and support our colleagues - wherever in the world they may be.
• We areAGILE– We act on our initiative to get things done for our clients. Our independence gives us the flexibility and freedom to keep things simple, efficient and effective.
• We areCOLLABORATIVE– With a curious mindset, we ask the right questions to get to the right solution, for our clients faster. We collaborate to win together and share our successes.
• We areETHICAL– We behave with integrity at all times and assume positive intent, buildingtrust through responsible actions and honest relationships.

Equal Opportunities for Everyone

Please let us know if there’s anything we can do to make the process easier for you. You can reach us at [e-mail].

We’re an equal opportunity employer. All applicants will be considered for employment without attention to age, ethnicity, religion, sex, sexual orientation, gender identity, family or parental status, national origin, or veteran, neurodiversity or disability status.