Main Responsibilities In this role, you will support clients with a broad range of compliance matters, including: Advising clients on day-to-day compliance topics such as personal trading, email reviews, firm trading activity monitoring, and restricted lists Preparing and submitting regulatory filings, including Form ADV and Form 13 filings Managing client registrations with relevant regulators, including the SEC and CFTC Supporting clients through regulatory examinations conducted by bodies such as the SEC, NFA, and state regulators Investigating, documenting, and helping to resolve compliance-related issues in line with client policies and procedures Monitoring regulatory developments and assessing how changes may affect clients Reviewing marketing and advertising materials to ensure they align with the Advisers Act and other applicable regulatory requirements Participating in, and where appropriate presenting, annual compliance training for clients and their employees Reviewing documents and data to support thoughtful analysis, sound judgement, and well-informed decisions Producing accurate, high-quality work across multiple client assignments Communicating professionally and confidently with regulators, clients, industry contacts, and internal teams, including the Ocorian CFO team Handling sensitive information with tact, discretion, confidentiality, and good judgement LI-JM1 LI-Hybrid Qualifications Knowledge, Skills and Experience We are seeking someone who is organised, curious, and comfortable working across multiple priorities. Qualifications A Bachelor’s degree 1 to 3 years of relevant compliance experience, ideally gained within a registered investment adviser, law firm, bank, alternative investment firm, or similar environment Knowledge of CFTC, NFA, client requirements, and SEC examination practices would be highly regarded Strong Microsoft Office skills, including Teams, Excel, Word, Outlook, and PowerPoint Excellent written and verbal communication skills Experience using MyComplianceOffice and Global Relay would be an advantage Competencies Highly organised, proactive, and able to work independently Comfortable balancing multiple client workloads in a fast-paced environment Detail-oriented, with a strong focus on quality and accuracy A resourceful problem-solver with strong follow-up skills Able to manage tasks through to completion within agreed timelines Confident building relationships with clients, colleagues, and external contacts A collaborative team player who enjoys working in a dynamic and entrepreneurial culture Professional, trustworthy, and committed to acting with integrity Additional Information 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.