{"id":3744360,"url":"https://alion.io/job/ocorian-compliance-consultant","title":"Compliance Consultant","company":{"id":6335,"name":"Ocorian","domain":"ocorian.com","url":"https://alion.io/company/ocorian","size_band":"1001-5000","is_staffing_agency":false,"employer_type":"direct","is_intermediary":false,"listed_via":null,"ats_vendor":"SmartRecruiters","truth_index":null},"role":"Legal","role_family":"Legal","seniority":"junior","employment_type":"full_time","work_mode":"hybrid","remote_scope":null,"remote_scope_basis":null,"remote_working_hours":null,"hiring_geo_confidence":"structured","locations":["Los Angeles, United States"],"countries":["US"],"hiring_countries":[],"hiring_countries_total":0,"salary":{"min":90000,"max":120000,"currency":"USD","period":"year","gross":null,"usd_annual":120000},"salary_estimate":null,"experience_years_min":1,"visa_sponsorship":false,"relocation_package":false,"has_equity":false,"technologies":[{"name":"Agile","optional":false}],"status":"closed","first_seen_at":"2026-11-04T11:44:05Z","employer_posted_date":"2026-11-04","last_verified_at":"2026-11-06T12:55:47Z","board_verified":false,"closed_at":"2026-11-06T12:55:47Z","days_open":2,"trust":{"level":"not_scored","repost_count":null,"flags":[],"days_open":2},"description":"Asset Manager Services | Issuer Services | Private Wealth & Corporate\nOcorian 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.\nWhether 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.\nWith 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.\nTo find out more about Ocorian and our services, including regulatory information, visit ocorian.com\n Salary Range\nUS$ 90,000 - 120,000\nPlease note we are open to the following locations: New York, Los Angeles, Charlotte and Chicago.\nPurpose of the Role\nThis is an excellent opportunity for someone with early to mid-level compliance experience who enjoys working directly with clients, interpreting regulatory requirements, and delivering practical solutions.\nYou will help investment managers navigate an evolving regulatory landscape, providing day-to-day compliance support across a broad range of matters. You will gain exposure to multiple client types, work closely with experienced compliance professionals, and play a key role in helping clients meet their regulatory obligations with confidence. If you are detail-oriented, commercially minded, and motivated to build a long-term career in compliance consulting, this role offers excellent scope for growth and development.\nMain Responsibilities\nSupport investment management clients with a broad range of day-to-day compliance matters, including personal account dealing, restricted lists, electronic communications reviews, and trade surveillance.\nPrepare and submit regulatory filings, including Form ADV and Form 13 filings, ensuring accuracy and timely completion.\nManage regulatory registrations and ongoing obligations with bodies such as the SEC and CFTC.\nAssist clients through regulatory examinations and enquiries conducted by the SEC, NFA, and state regulators.\nReview marketing and advertising materials to ensure compliance with applicable regulatory requirements, including the Advisers Act.\nMonitor regulatory developments, assess their impact on clients, and provide practical compliance guidance.\nInvestigate and resolve compliance-related issues, maintaining accurate documentation and clear audit trails.\nSupport the delivery of compliance training and awareness initiatives for clients and their employees.\nBuild strong relationships with clients, regulators, industry contacts, and internal stakeholders through professional and effective communication.\nProduce high-quality work across multiple client engagements while handling sensitive information with professionalism, discretion, and sound judgement.\nBachelor's degree or equivalent qualification.\nKnowledge, Skills and Experience\n1 to 3 years of relevant compliance experience, ideally gained within a registered investment adviser, law firm, bank, alternative investment firm, or similar environment.\nKnowledge of CFTC, NFA, client requirements, and SEC examination practices would be highly regarded.\nExperience using MyComplianceOffice and Global Relay would be an advantage.\nDetail-oriented, with a strong focus on quality and accuracy.\nResourceful problem-solver with strong follow-up skills.\nConfident building relationships with clients, colleagues, and external contacts.\n 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:\nWe are CLIENT 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.\nWe are AMBITIOUS - 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.\nWe are AGILE - 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.\nWe are COLLABORATIVE - 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.\nWe are ETHICAL - We behave with integrity at all times and assume positive intent, building trust through responsible actions and honest relationships.\nEqual Opportunities for Everyone\nPlease let us know if there’s anything we can do to make the process easier for you. You can reach us at .\nWe’re an equal opportunity employer. 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