What are the responsibilities and job description for the Compliance Officer position at Corient?
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.
Pay Information
This position is exempt and is paid according to the laws of the State of Illinois. The pay range for this position is $75,000 – $95,000 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.
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
Salary : $75,000 - $95,000
