Compliance Officer, Compliance Management

Overview

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.

Location: Denver, CO or Miami, FL

Regulatory Reporting

• Prepare and submit regulatory filings—including SEC Forms 13F, 13H, Form PF, Form NPX and NFA reports, and applicable DOL reports—ensuring accuracy, timeliness, and full compliance with regulatory standards. Create process and standards for ongoing submitting filings.

Data Management

• Collaborate with cross-functional teams to gather and validate data from multiple sources. Maintain effective data-validation controls to ensure completeness and accuracy for reporting purposes.

Compliance Monitoring

• Conduct ongoing reviews and audits of reporting processes to confirm adherence to regulatory requirements and internal policies. Promptly identify, investigate, and remediate compliance issues or discrepancies.

Regulatory Updates

• Monitor regulatory changes and industry developments and communicate relevant updates proactively to key stakeholders.

• Bachelor’s degree in finance, business, or a related field.
• 5–7 years of compliance experience within the wealth management or private fund industry.
• Strong knowledge of SEC investment advisory regulations and reporting requirements.
• Excellent analytical, research, and problem-solving skills.
• Proficiency in Microsoft Excel, Word, PowerPoint, and familiarity with XML formatting.
• Strong written and verbal communication abilities.
• Demonstrated ability to work collaboratively and lead compliance initiatives.

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.

This position is exempt and is paid according to the laws of the State of Colorado or Florida according to the final position location. The pay range for this position is $75,000-$95,000 per year in Colorado. 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.

What You Can Expect from Us: Our dedication to the Employee Experience at Corient is aimed at supporting, empowering, and inspiring our talented team through 401(k) Plan with Employer Matching; four medical plan options generously subsidized by Corient; employer-paid dental, vision & life and AD&D insurance; employer-paid short-term & long-term disability; paid maternity & parental leave; flexible spending accounts and health savings accounts;

dependent care FSA; commuter & transit FSA; corporate discount program; training reimbursement; paid professional designations; and volunteer days. Corient is one of the fastest-growing wealth management platforms in the United States. We serve more than 10,000 clients and manage over $100 billion of assets through offices located across the country. We are committed to a safe, healthy, and respectful environment and to fully utilizing the abilities of all our employees.

Equal Opportunity

We are an equal opportunity employer. All candidates will be recruited and, if applicable, selected and employed without regard to sex, race, religion, marital status, veteran status, age, national origin, sexual orientation, gender identity, color, creed, ancestry, disability, genetic information or any other basis prohibited by law.