Compliance Officer, Business

Join a team that values your ambition and empowers your growth

At Corient, we help high- and ultra-high-net-worth individuals and families to enjoy a full life, while enabling them to preserve their wealth for future generations, and provide for the people, causes and communities they care about. We focus on exceeding expectations, simplifying lives, and establishing legacies that last for generations. We are always looking for talented and motivated individuals to join our team.

If you want to work for a company that values your contributions and supports your growth, we would like to meet you.

Key Responsibilities:

• Manage the Firm's Code of Ethics Program including policies governing personal trading, gifts and entertainment, outside business activities, political contributions, conflicts of interest, and certifications.
• Escalate exceptions to business and Compliance management along with supporting documentation.
• Work to improve efficiency of rule sets through observation and testing.
• Act as one of the primary contacts for responding to policy questions related to the Code of Ethics.
• Conduct targeted investigations in connection with special requests from management or related to issues uncovered in daily surveillance.
• Act as administrator and systems expert for our Code of Ethics Monitoring tool.
• Prepare metrics for monthly and quarterly reporting.
• Develop and maintain strong working relationships with Business, Compliance, Legal and Risk groups.
• Identify, present recommendations, and ultimately implement solutions for improving processes within the program to build efficiencies and improve workflows
• Monitor and stay current on relevant laws, regulations, and industry standards.
• Prepare and maintain accurate records and documentation related to compliance and operational activities.
• Perform other duties and responsibilities as assigned.

Qualifications:

• Bachelor's degree in business, finance, or a related field.
• 5 + years of Financial Services Industry experience (Registered Investment Adviser experience a plus)
• Previous experience in compliance, audit, risk or a related role.
• A strong understanding of regulatory requirements and industry standards (i.e. Investment Advisors Act of 1940, Rule 206(4)-7, and federal securities laws).
• Excellent analytical and problem-solving skills.
• Proficiency in data analysis and reporting tools (e.g., Excel, data visualization software).
• Strong Interview, presentation, written communication, time management, organizational and analytical skills.
• Detail-oriented.
• Enthusiastic, self-motivated.

• Experience with STAR Compliance monitoring tool a plus.

To be successful in this role, you will need to have excellent communication skills, exceptional organizational skills, and the ability to multitask effectively. You should also be comfortable working in a fast-paced, dynamic environment and be able to handle pressure with grace and professionalism. Finally, you should be comfortable working independently and as part of a team, and have a positive, can-do attitude.

This position description is intended to provide a general overview of the expectations and responsibilities of this position and may not include all tasks that may be assigned. As the nature of business demands change, so may the functions of this position. Additional duties and responsibilities may be assigned with or without notice.

Pay Information

This position is exempt and is paid according to the laws of the State of Illinois, Florida, Colorado, or New York depending on final position location. The pay range for this position is $92,500 - $115,500 USD per year. We are required to provide a reasonable estimate of the compensation range for this role. This range takes into account the wide range of factors that are considered in making compensation decisions including but not limited to experience, skills, knowledge, abilities, education, licensure and certifications, and other business and organizational needs.

It is not typical for an individual to be offered a salary at or near the top of the range for a position. Salary offers are determined based on final candidate qualifications and experience.

Physical Requirements

• This position requires the physical capabilities to work in an office environment, which may include prolonged periods of sitting at a desk and working on a computer. Corient seeks to make reasonable accommodations that enable individuals with disabilities to perform essential duties when possible.
• This position may require the ability to lift up to 15 pounds.
• This position is required to work onsite 4 days per week.

U.S. Eligibility Requirements

• Must be 18 years of age or older.
• Must have unrestricted work authorization to work in the United States. For U.S. employment opportunities, Corient hires U.S. citizens or permanent residents. Exceptions to these requirements will be determined based on shortage of qualified candidates with a particular skill. Corient will require proof of work authorization.
• Corient participates in…