OCR Alpha · 4 hours ago
Compliance Associate
NYC Metro Area
Full-time
Onsite
Entry, Mid Level
2+ years expOCR Alpha is a leading multi-strategy hedge fund with a global presence. The Compliance Associate will be responsible for regulatory oversight, monitoring, and program development, ensuring compliance with US regulations while maintaining compliance policies and procedures.
AccountingBusiness DevelopmentComplianceFinanceFinancial Services
Responsibilities
Maintain and enhance compliance policies, procedures, and the Code of Ethics
Support firm-wide compliance risk assessments and control frameworks
Manage elements of the compliance calendar and ongoing monitoring activities
Assist with regulatory filings and responses to US regulators
Review investor materials and external communications for regulatory alignment
Run employee compliance monitoring (personal trading, gifts & entertainment, Code of Ethics)
Maintain audit-ready compliance records and logs
Conduct real-time and post-trade surveillance of trading activity
Support regulatory examinations, audits, and compliance reviews
Coordinate compliance training and track completion
Monitor regulatory developments and support ad-hoc compliance initiatives
Qualification
Required
2–4+ years of compliance experience within investment management or regulated financial services
Familiarity with US regulatory requirements (SEC / RIA environment preferred)
Strong attention to detail and ability to manage multiple priorities
Clear communicator with a practical, solutions-focused mindset
Company
OCR Alpha
OCR Alpha is an executive search firm focusing on financial services, hedge funds, and investment management.
11-50 employees
Funding
Current Stage
Early StageCompany data provided by crunchbase