Los Angeles, California, United States · Hybrid
$70k–$120k/yr
Company Description Fund services | Corporate | Capital markets | Private client | Regulatory & Compliance We help clients succeed by unlocking new value through expertise, trust and scale. We deliver solutions that solv…
Skills: Regulatory compliance, Investment management, SEC filings, CFTC regulations, NFA regulations
New York, New York, United States · On-site
$96k–$120k/yr
Company Description Fund services | Corporate | Capital markets | Private client | Regulatory & Compliance We help clients succeed by unlocking new value through expertise, trust and scale. We deliver solutions that solv…
Skills: Compliance, Regulatory filings, Form ADV, Form 13, SEC regulations
New York, New York, United States · On-site
Company Description Fund services | Corporate | Capital markets | Private client | Regulatory & Compliance We help clients succeed by unlocking new value through expertise, trust and scale. We deliver solutions that solv…
Skills: Compliance, Regulatory filings, SEC regulations, CFTC regulations, NFA regulations
Luxembourg, Luxembourg · Hybrid
Company Description Fund services | Corporate | Capital markets | Private client | Regulatory & Compliance We help clients succeed by unlocking new value through expertise, trust and scale. We deliver solutions that solv…
Skills: Capital Markets, Debt structures, Securitisation vehicles, AML compliance, Know-Your-Customer
Moka VCA, East, Moka, Mauritius · Hybrid
Company Description Fund services | Corporate | Capital markets | Private client | Regulatory & Compliance We help clients succeed by unlocking new value through expertise, trust and scale. We deliver solutions that solv…
Skills: Client relationship management, Operational oversight, People leadership, Corporate services, Governance
Moka VCA, East, Moka, Mauritius · Hybrid
Company Description Fund services | Corporate | Capital markets | Private client | Regulatory & Compliance We help clients succeed by unlocking new value through expertise, trust and scale. We deliver solutions that solv…
Skills: AML/CFT, Client due diligence, Compliance, Risk evaluation, Team coordination
Moka VCA, East, Moka, Mauritius · Hybrid
Company Description Fund services | Corporate | Capital markets | Private client | Regulatory & Compliance We help clients succeed by unlocking new value through expertise, trust and scale. We deliver solutions that solv…
Skills: AML/CFT, CDD, KYC Analysis, Team Management, Regulatory Compliance
Moka VCA, East, Moka, Mauritius · Hybrid
Company Description Fund services | Corporate | Capital markets | Private client | Regulatory & Compliance We help clients succeed by unlocking new value through expertise, trust and scale. We deliver solutions that solv…
Skills: AML, KYC, Financial crime risk, Client screening, Sanctions screening
Moka, Mauritius · Hybrid
Company Description Fund services | Corporate | Capital markets | Private client | Regulatory & Compliance We help clients succeed by unlocking new value through expertise, trust and scale. We deliver solutions that solv…
Skills: Compliance, Risk management, Anti-money laundering, Regulatory compliance, Financial crime
Moka VCA, East, Moka, Mauritius · Hybrid
Company Description Fund services | Corporate | Capital markets | Private client | Regulatory & Compliance We help clients succeed by unlocking new value through expertise, trust and scale. We deliver solutions that solv…
Skills: Fund accounting, NAV production, PFS Paxus, Financial reporting, Trade processing
Moka VCA, East, Moka, Mauritius · Hybrid
Company Description Fund services | Corporate | Capital markets | Private client | Regulatory & Compliance We help clients succeed by unlocking new value through expertise, trust and scale. We deliver solutions that solv…
Skills: Fund accounting, NAV production, PFS Paxus, Financial reporting, Trade processing
Belfast, Northern Ireland, United Kingdom · Hybrid
Company Description Fund services | Corporate | Capital markets | Private client | Regulatory & Compliance We help clients succeed by unlocking new value through expertise, trust and scale. We deliver solutions that solv…
Skills: Investor services, Fund administration, Investor onboarding, CDD/KYC reviews, Cash management
St Helier, Jersey · Hybrid
Company Description We help clients succeed by unlocking new value through expertise, trust and scale. We deliver solutions that solve complex challenges faced by asset managers, financial institutions, corporates, high …
Skills: Trust administration, Company administration, Private wealth structures, Client relationship management, Regulatory compliance
St Helier, Jersey · Hybrid
Company Description Fund services | Corporate | Capital markets | Private client | Regulatory & Compliance We help clients succeed by unlocking new value through expertise, trust and scale. We deliver solutions that solv…
Skills: Trust administration, Company administration, Financial services, Jersey company law, Tax compliance
Moka VCA, East, Moka, Mauritius · Hybrid
Company Description Fund services | Corporate | Capital markets | Private client | Regulatory & Compliance We help clients succeed by unlocking new value through expertise, trust and scale. We deliver solutions that solv…
Skills: Capital markets, Fund services, Corporate trust, Securitisation, Fiduciary structures
Singapore, Singapore · Hybrid
Company Description Fund services | Corporate | Capital markets | Private client | Regulatory & Compliance We help clients succeed by unlocking new value through expertise, trust and scale. We deliver solutions that solv…
Skills: Client relationship management, Trust administration, Compliance, Anti-money laundering, Regulatory awareness
Belfast, Northern Ireland, United Kingdom · Hybrid
Company Description Fund services | Corporate | Capital markets | Private client | Regulatory & Compliance We help clients succeed by unlocking new value through expertise, trust and scale. We deliver solutions that solv…
Skills: Fund accounting, Financial reporting, Loan/debt instruments, Waterfall calculations, EFront
Belfast, Northern Ireland, United Kingdom · Hybrid
Company Description Fund services | Corporate | Capital markets | Private client | Regulatory & Compliance We help clients succeed by unlocking new value through expertise, trust and scale. We deliver solutions that solv…
Skills: Fund accounting, Financial reporting, Reconciliations, Investor allocations, Expense schedules
Moka VCA, East, Moka, Mauritius · Hybrid
Company Description Fund services | Corporate | Capital markets | Private client | Regulatory & Compliance We help clients succeed by unlocking new value through expertise, trust and scale. We deliver solutions that solv…
Skills: Capital markets, Fund services, Corporate trust, Securitisation, Fiduciary services
Jersey · Hybrid
Company Description Fund services | Corporate | Capital markets | Private client | Regulatory & Compliance We help clients succeed by unlocking new value through expertise, trust and scale. We deliver solutions that solv…
Skills: Fund administration, Corporate governance, Compliance, Regulatory requirements, KYC
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The Compliance Associate will support a portfolio of investment management clients by managing regulatory filings, monitoring trading activities, and ensuring adherence to compliance policies. They will also assist clients during regulatory examinations and provide guidance on evolving regulatory requirements.
Candidates must possess a Bachelor's degree and 1 to 3 years of relevant compliance experience within the financial services sector. Strong organizational skills, proficiency in Microsoft Office, and a deep understanding of SEC and CFTC regulatory frameworks are required.
We help clients succeed by unlocking new value through expertise, trust and scale. We deliver solutions that solve complex challenges faced by asset managers, financial institutions, corporates, high net-worth individuals and family offices.
With a curious mindset, we ask the right questions to get to the right solution, faster. We collaborate to win together, sharing successes and shaping the future of our global business. Our culture of support and recognition provides the tools and opportunities for you to grow, while unlocking the most value for our clients and making your mark with Ocorian.
Expertise: We deliver specialist, tech-enabled solutions for our clients grounded on deep industry expertise.
Trust: We’re a trusted partner to over 8,000 clients globally. We are proud to have long-lasting partnerships with our clients.
Scale: With more than 1,500 colleagues, we operate across 20+ countries, our scale enables us to support our clients globally and locally, providing a seamless client experience across borders and service lines.
Salary Range
US$ 100,000 - 120,000
Please note we are open to the following locations: New York, Los Angeles, Charlotte and Chicago.
Purpose of the Role
We are looking for a motivated and detail-oriented Compliance Associate to join our team and support a varied portfolio of clients across the investment management sector.
This is a great opportunity for someone with early to mid-level compliance experience who enjoys working in a client-facing environment, solving problems, and staying close to regulatory developments. You will play an important role in helping clients meet their regulatory obligations while developing your own technical knowledge and professional confidence.
Main Responsibilities
In this role, you will support clients with a broad range of compliance matters, including:
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Knowledge, Skills and Experience
We are seeking someone who is organised, curious, and comfortable working across multiple priorities. You will be someone who takes pride in accuracy, enjoys building trusted relationships, and is keen to grow your compliance career in a collaborative environment.
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:
Please let us know if there’s anything we can do to make the process easier for you. You can reach us at .
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.
Premier global asset servicing for asset managers and owners
We use our expertise, trust and scale to manage and solve your complex operational, administrative and regulatory challenges, so you can focus on growing your business. That’s why our solutions are trusted by asset managers, financial institutions, corporates, high net-worth individuals, and family offices, worldwide.
Offices: 20 Fenchurch Street, London, EC3M 3BY, GB · 26 New Street, St Helier, Jersey JE2 3RA, JE · 1260 København, Bredgade 30, Copenhagen, 1260, DK · Aleksanterinkatu 44, Helsinki, 00100 , FI · Brüsseler Str. 1 – 3, Frankfurt, 60327, DE
Premier global asset servicing for asset managers and owners
We use our expertise, trust and scale to manage and solve your complex operational, administrative and regulatory challenges, so you can focus on growing your business. That’s why our solutions are trusted by asset managers, financial institutions, corporates, high net-worth individuals, and family offices, worldwide.
Offices: 20 Fenchurch Street, London, EC3M 3BY, GB · 26 New Street, St Helier, Jersey JE2 3RA, JE · 1260 København, Bredgade 30, Copenhagen, 1260, DK · Aleksanterinkatu 44, Helsinki, 00100 , FI · Brüsseler Str. 1 – 3, Frankfurt, 60327, DE
