Senior Compliance Officer, Compliance Management

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.

Location: Chicago, IL

Overview

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.

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 Illinois. The pay range for this position is $88,000 - 132,000 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 determi