Hiring: Compliance Associate Company: Octagon Credit Investors Location: New York, NY Job Posted Time: 2026-09-10 11:41:14 Target Skills & Keywords : Microsoft Office, Portfolio Management, Series 7 About the job Experience: •2+ years of Investment Adviser Compliance experience Required Skills: •Carry out the administration of the firm’s Code of Ethics (personal trading, outside business activities, political contributions and gifts and entertainment) •Deliver Code of Ethics training and onboarding/offboarding employees onto RIA and FINRA compliance management platforms •Conduct testing and assessment of the firm’s Compliance Program under 206(4)-7 •Ongoing review and testing of the Firm’s AML requirements •Assist in the preparation, documentation, and submission of regulatory, federal, state and governmental filings and help manage ongoing filing matters •Prepare for and respond to regulatory inquiries, examinations, internal and external audits •Answer questions pertaining to the firm’s compliance policies, apply judgment in response to day-to-day questions, and follow up with solutions/process improvement •Participate in various internal Committees and assist by creating meeting materials Qualifications: •Direct message the job poster from Octagon Credit Investors •Head of Human Resources at Octagon Credit Investors Compensation: •$110,000 - $130,000 / year •Competitive salary and eligibility for year-end performance-based bonus Interested candidates, please apply directly through the job posting on company's career page or try via AI auto apply on this platform. Don't miss this opportunity to join a forward-thinking team!