Senior Compliance Officer, Compliance Management

Senior Compliance Officer, Compliance Management

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 VLCp 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.

This position is an enterprise compliance role responsible for supporting both Corient’s asset management and private wealth business, serving as a subject matter expert in compliance.

Responsibilities

• Program Development & Oversight: Maintain and strive to improve the firm’s overall compliance program, including drafting and updating the compliance manual, written policies and procedures and Code of Ethics.
• Enterprise Compliance Governance: Developing and maintaining compliance governance documents including committee charters, minutes. Preparing enterprise governance reporting for senior management.
• Training & Education: Develop and deliver ongoing compliance education and training initiatives for all employees, utilizing Learning Management systems (LMS) and in‑person training, to ensure they understand their responsibilities and stay current with regulatory changes.
• Regulatory Change Management: Continuously monitor the evolving regulatory landscape, including new rules and enforcement cases, and adapt internal policies and procedures accordingly.

Qualifications & Requirements

• A minimum of 5‑10+ years of experience in regulatory compliance within the financial services industry, specifically with a Registered Investment Adviser.
• Deep understanding of federal and state securities laws, including the Investment Advisers Act of 1940 and the Investment Company Act of 1940 and related SEC rules for wealth management, private and registered funds. Knowledge of NFA and CFTC regulations helpful.
• Strong analytical, problem‑solving, and critical thinking abilities.
• Exceptional written and verbal communication skills, with the ability to articulate complex regulatory information clearly to all levels of the organization.
• Strong Microsoft Office skills.
• Leadership and management skills to foster a firm‑wide culture of compliance.
• Meticulous attention to detail and strong organizational skills to manage documentation and deadlines.
• Familiarity with Learning Management systems a plus.

Physical Requirements

• This position requires the physical capabilities toibong 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 requires working onsite 4 days per week.

U.S. Eligibility Requirements

• Must be 18 years of age or older.
• Must be willing to submit to a background investigation; any offer of employment is conditioned upon the successful completion of a background investigation.
• 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 E‑Verify and will provide the federal government with your Form I‑9 information to confirm that you are authorized to work in the U.S. If E‑Verify cannot confirm that you are authorized to work, this employer is required to give you written instructions and an opportunity to contact Department of Homeland Security (DHS) or Social Security Administration (SSA) so you can begin to resolve the issue before the employer شتون can take any action against you, including terminating your employment. Employers can only use E‑Verify once you have accepted a job offer andCollections completed the Form_gpu.
• Must be willing to execute Corient’s Employee Agreement or Confidentiality and Non‑Disclosure Agreement, which require, among other things, post‑employment obligations relating to non‑solicitation, confidentiality, and non‑disclosure.

What You can Expect from Us

• 401(k) Plan with Employer Matching
• Four Medical Plan options that are generously subsidized by Corient
• Employer paid Dental, Vision & Life and AD&D Insurance
• Employer paid Short‑term & Long‑term Disability
• Paid Maternity & Par सुंदर Leave
• Flexible Spending Accounts & Health Savings Accounts
• Dependent Care FSA
• Commuter & Transit FSA
• Corporate Discount Program – Perkspot
• Training Reimbursement
• Paid Professional Designations
• Giving back to the community – Volunteer days

Corient terjadi di 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 Treeße a boutique’s personal service, creativity and objective advice with the extensive resources and vast intellectual capital of an innovative industry leader to create a profoundly different wealth management experience for our clients. Full participation of all employees in a safe, healthy and respectful environment is key to individual and company success. We are committed to fully utilizing the abilities of all our employees and expect each of our employees to honor this commitment in their daily responsibilities.

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.