Obra Capital, Inc.
Position Overview:
We're seeking an
Associate, Compliance
to join our growing team and play a key role in managing and enhancing our SEC-registered investment adviser compliance program. This individual will work closely with the Compliance team and support the Chief Compliance Officer in the design, implementation, and monitoring of the firm-wide compliance processes that support a culture of integrity, transparency, and operational excellence.
This is an exciting opportunity for a motivated compliance professional who thrives in a dynamic, collaborative environment and wants exposure to senior leadership, investment professionals, and cross-functional business teams.
Responsibilities: Support the development and execution of OCM's compliance program in accordance with the Investment Advisers Act of 1940 and other applicable regulations including the maintaining and updating of OCM's compliance policies, procedures and Code of Ethics. Conduct routine monitoring, risk assessments and compliance testing to identify and mitigate regulatory risks. Assist in the preparation and review of regulatory filings such as Form ADV and Form PF. Assist in the review of marketing and investor materials to ensure compliance with SEC marketing rules. Maintain and monitor the Code of Ethics, including personal trading and gifts/entertainment reporting. Track and interpret regulatory developments, advising stakeholders on implications for business operations. Assist in regulatory exams, audits, and inquiries, coordinating with external consultants and counsel. Collaborate across Legal, Operations, Portfolio Management, and Investor Relations to strengthen firm-wide compliance controls. Assist in providing guidance to employees on regulatory matters and internal policies. Help develop and deliver employee compliance training. Assist in the maintenance of accurate compliance records, books and logs. Contribute to process improvement and automation initiatives within the compliance program. Qualifications:
4-6 years of compliance experience with an SEC-registered investment adviser, ideally in private credit, structured credit, or private equity. Strong knowledge of federal securities laws (Investment Advisers Act of 1940, Investment Company Act of 1940). Experience assisting in preparing and reviewing regulatory filings and managing compliance workflows. Excellent analytical, organizational, and communication skills with the ability to manage multiple priorities/multiple initiatives at once. Experience in program or project management. Ability to think strategically/operationally/tactically. High integrity, sound judgment, and a proactive and creative approach to solving problems. Bachelor's degree a plus; professional certification (IACCP, CSCP) a plus. Familiarity/experience with compliance technology platforms (e.g., ComplianceAlpha) is preferred.
Compensation:
The expected base salary range for this role is outlined below. In addition to the base salary, total compensation may include a discretionary bonus based on performance. This range given is a best faith estimate which reflects a variety of factors, including years of relevant experience, education, location and other qualifications pertinent to the position. Base salary does not include any other performance based compensation such as year end cash bonus.
$125,000-$140,000
The firm also offers robust Benefits offerings which include Comprehensive Medical/Rx, Dental and Vision plans; 401(k) program with company match; Flexible Savings Accounts (FSA); Healthcare Savings Accounts (HSA) with company contribution; Basic and Voluntary Life Insurance; Long-Term Disability (LTD) and Short-Term Disability (STD) insurance; and Commuter Benefits plan for parking and transit. In addition all employees of Obra are provided with a daily lunch stipend.
We're seeking an
Associate, Compliance
to join our growing team and play a key role in managing and enhancing our SEC-registered investment adviser compliance program. This individual will work closely with the Compliance team and support the Chief Compliance Officer in the design, implementation, and monitoring of the firm-wide compliance processes that support a culture of integrity, transparency, and operational excellence.
This is an exciting opportunity for a motivated compliance professional who thrives in a dynamic, collaborative environment and wants exposure to senior leadership, investment professionals, and cross-functional business teams.
Responsibilities: Support the development and execution of OCM's compliance program in accordance with the Investment Advisers Act of 1940 and other applicable regulations including the maintaining and updating of OCM's compliance policies, procedures and Code of Ethics. Conduct routine monitoring, risk assessments and compliance testing to identify and mitigate regulatory risks. Assist in the preparation and review of regulatory filings such as Form ADV and Form PF. Assist in the review of marketing and investor materials to ensure compliance with SEC marketing rules. Maintain and monitor the Code of Ethics, including personal trading and gifts/entertainment reporting. Track and interpret regulatory developments, advising stakeholders on implications for business operations. Assist in regulatory exams, audits, and inquiries, coordinating with external consultants and counsel. Collaborate across Legal, Operations, Portfolio Management, and Investor Relations to strengthen firm-wide compliance controls. Assist in providing guidance to employees on regulatory matters and internal policies. Help develop and deliver employee compliance training. Assist in the maintenance of accurate compliance records, books and logs. Contribute to process improvement and automation initiatives within the compliance program. Qualifications:
4-6 years of compliance experience with an SEC-registered investment adviser, ideally in private credit, structured credit, or private equity. Strong knowledge of federal securities laws (Investment Advisers Act of 1940, Investment Company Act of 1940). Experience assisting in preparing and reviewing regulatory filings and managing compliance workflows. Excellent analytical, organizational, and communication skills with the ability to manage multiple priorities/multiple initiatives at once. Experience in program or project management. Ability to think strategically/operationally/tactically. High integrity, sound judgment, and a proactive and creative approach to solving problems. Bachelor's degree a plus; professional certification (IACCP, CSCP) a plus. Familiarity/experience with compliance technology platforms (e.g., ComplianceAlpha) is preferred.
Compensation:
The expected base salary range for this role is outlined below. In addition to the base salary, total compensation may include a discretionary bonus based on performance. This range given is a best faith estimate which reflects a variety of factors, including years of relevant experience, education, location and other qualifications pertinent to the position. Base salary does not include any other performance based compensation such as year end cash bonus.
$125,000-$140,000
The firm also offers robust Benefits offerings which include Comprehensive Medical/Rx, Dental and Vision plans; 401(k) program with company match; Flexible Savings Accounts (FSA); Healthcare Savings Accounts (HSA) with company contribution; Basic and Voluntary Life Insurance; Long-Term Disability (LTD) and Short-Term Disability (STD) insurance; and Commuter Benefits plan for parking and transit. In addition all employees of Obra are provided with a daily lunch stipend.