Senior Regulatory & Compliance Advisor

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

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.